Stephen Grivas
Professional summary
Stephen Grivas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Stephen had worked at 16 firms, which includes BLACKBOOK CAPITAL LLC, OBSIDIAN FINANCIAL GROUP LLC, WESTROCK ADVISORS INC., J.P. TURNER & COMPANY L.L.C., EMMETT A LARKIN COMPANY INC., TRADE.COM ONLINE SECURITIES INC., WINDSOR STREET CAPITAL LP, THE BOSTON GROUP, FIRST METROPOLITAN SECURITIES INC., LT LAWRENCE & CO. INC., FIRST CAMBRIDGE SECURITIES CORPORATION, ROTHSCHILD GLOBAL INVESTMENTS INC., INVESTORS ASSOCIATES INC., A. T. BROD & CO. INC., BARRON CHASE SECURITIES INC., JAMES W. BULLARD JR. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2014 - August 7, 2014
BLACKBOOK CAPITAL, LLC
April 14, 2008 - October 16, 2013
OBSIDIAN FINANCIAL GROUP, LLC
April 7, 2005 - April 15, 2008
WESTROCK ADVISORS, INC.
December 21, 2000 - May 3, 2005
J.P. TURNER & COMPANY, L.L.C.
May 19, 2000 - December 11, 2000
EMMETT A LARKIN COMPANY, INC.
May 12, 1999 - May 18, 2000
TRADE.COM ONLINE SECURITIES, INC.
July 6, 1998 - April 19, 1999
WINDSOR STREET CAPITAL, LP
April 19, 1998 - July 14, 1998
THE BOSTON GROUP
January 9, 1996 - February 5, 1998
FIRST METROPOLITAN SECURITIES, INC.
June 23, 1995 - January 3, 1996
LT LAWRENCE & CO., INC.
January 31, 1995 - July 13, 1995
FIRST CAMBRIDGE SECURITIES CORPORATION
January 24, 1995 - January 28, 1995
ROTHSCHILD GLOBAL INVESTMENTS, INC.
October 26, 1994 - November 17, 1994
INVESTORS ASSOCIATES, INC.
April 7, 1994 - April 29, 1994
A. T. BROD & CO. INC.
March 28, 1994 - April 11, 1994
BARRON CHASE SECURITIES, INC.
January 18, 1994 - May 20, 1994
JAMES W. BULLARD, JR., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 1/17/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
BLACKBOOK CAPITAL, LLC
CRD#: 123234 / SEC#: , 8-65577
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OGELE, FRANKLIN IHENDU | CEO, PRESIDENT, FINOP, CCO | 2197820 |
| APEX HOMES, INC | MEMBER |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Judgment/Lien | 1 |
Red Flags
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