Stephen J. Swigoda
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 Joseph Swigoda was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1988. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 56 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
September 16, 2014 - September 27, 2017
QUASAR TRADING, LLC
April 5, 2013 - August 8, 2014
QUASAR TRADING, LLC
April 12, 2011 - March 13, 2013
COASTAL TRADE SECURITIES, LLC
January 6, 1994 - July 27, 1994
REYNOLDS KENDRICK STRATTON, INC.
August 25, 1993 - December 20, 1993
CURRENCY MANAGEMENT INTERNATIONAL, INC.
July 9, 1993 - August 5, 1993
LAZAR FREDERICK & COMPANY
March 22, 1991 - March 9, 1992
FIRST MONTAUK SECURITIES CORP.
September 21, 1988 - December 31, 1989
FIRST MONTAUK SECURITIES CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 56
Date: 10/17/2011
Proprietary Trader Qualification ExaminationCurrent Firm
QUASAR TRADING, LLC
CRD#: 151974 / SEC#: , 8-68416
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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