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Stephen J. Pocina

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CRD#: 1786516
SP

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen John Pocina was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 9, 2015 - July 5, 2017

DASH PRIME LLC

BD
CRD#: 41257
CHICAGO, IL
Past

November 9, 2010 - October 14, 2014

BTIG, LLC

BD
CRD#: 122225
CHICAGO, IL
Past

April 19, 2010 - October 13, 2010

HUDSON SECURITIES,INC.

BD
CRD#: 10467
CHICAGO, IL
Past

February 8, 2007 - February 1, 2010

NEXT GENERATION EQUITY RESEARCH LLC

BD
CRD#: 130754
CHICAGO, IL
Past

March 1, 2004 - March 13, 2006

SUSQUEHANNA FINANCIAL GROUP, LLLP

BD
CRD#: 35865
BALA CYNWYD, PA
Past

February 13, 2001 - March 9, 2004

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

April 24, 2000 - February 23, 2001

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

September 11, 1998 - April 7, 2000

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

January 2, 1997 - September 4, 1998

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

March 20, 1992 - January 2, 1997

THE CHICAGO CORPORATION

BD
CRD#: 1449
CHICAGO, IL
Past

May 24, 1988 - March 7, 1992

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

February 23, 1988 - April 18, 1988

BILLINGS EQUITIES, INC.

BD
CRD#: 7932

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/11/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/5/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination

Current Firm

DP
DASH PRIME LLC
DASH PRIME LLC | EROOM SECURITIES L.L.C.

CRD#: 41257 / SEC#: , 8-49339

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 South Wacker Drive Suite 2450, Chicago, IL 60606
Mailing Address
200 South Wacker Drive Suite 2450, Chicago, IL 60606
Phone number
(312) 690-2500
Established
Delaware since 05/16/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DFT INTERMEDIATE LLCMANAGING MEMBER
CARRICO, JOHN COLLINPRESIDENT, COO, CFO, FINOP & SROP/CROP2803922
GAPPA, PAUL GLENNCHIEF COMPLIANCE OFFICER2694836

Disclosures

Regulatory Event6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DASH PRIME LLC

CRD#: 41257

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