Stephen J. Perciballi
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 Perciballi, who also goes by Stephen Perciballi, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 6 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2000 - August 5, 2018
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
June 17, 1998 - January 4, 2000
PURCELL GRAHAM INCORPORATED
March 1, 1995 - April 1, 1998
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 19, 1994 - March 6, 1995
KIDDER, PEABODY & CO. INCORPORATED
September 10, 1993 - September 26, 1994
LEHMAN BROTHERS INC.
April 6, 1993 - August 30, 1993
DAIN RAUSCHER INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
CRD#: 103460 / SEC#: , 8-52179
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LMJ HOLDINGS, INC. | SHAREHOLDER | |
| CUCCIA, GARY JOHN | CEO/CCO/CFO/FINOP | 1386493 |
Disclosures
| Regulatory Event | 7 |
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.
