Stephane Y. Pizenberg
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.
Stephane Yves Pizenberg, who also goes by Stephane Yves Pizemberg, Stephane Pizemberg, Stephane Pizenberg, Stephanie Pizenberg, was a registered financial professional .
Stephane is a previously registered financial professional and started their career in finance in 1988. Stephane had worked at 8 firms and has passed the Series 63, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2004 - July 12, 2012
SG AMERICAS SECURITIES, LLC
July 5, 2000 - April 26, 2004
COWEN AND COMPANY
April 11, 1991 - July 20, 2000
BNP PARIBAS SECURITIES CORP.
January 17, 1990 - March 27, 1991
JOSEPHTHAL & CO., INC.
November 21, 1989 - January 24, 1990
V P SECURITIES, INC.
November 16, 1989 - December 8, 1989
DONALD & CO. SECURITIES INC.
March 31, 1989 - November 20, 1989
WILLIAM M. CADDEN & CO., INC.
August 23, 1988 - March 10, 1989
INVESTORS CENTER, INC.
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
Current Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CHIEF EXECUTIVE OFFICER | 6390499 |
| CULLEN, EDWARD PATRICK | OPERATIONAL RISK MANAGER | 1551615 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
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.
