Steven R. Mcdermott
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.
Steven Richard Mcdermott was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1988. Steven had worked at 14 firms and has passed the Series 63, Series 65, Series 7TO, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 9, 2023 - September 12, 2024
FORESIDE FUND SERVICES, LLC
January 3, 2012 - May 13, 2020
BLACKROCK INVESTMENTS, LLC
October 21, 2011 - May 13, 2020
BLACKROCK FUND ADVISORS
August 15, 2011 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
October 9, 2008 - August 25, 2011
CHARLES SCHWAB & CO., INC.
November 21, 2006 - October 10, 2008
FIDELITY BROKERAGE SERVICES LLC
April 17, 2003 - February 17, 2006
J.P. MORGAN CLEARING CORP.
April 17, 2003 - July 5, 2006
J.P. MORGAN SECURITIES LLC
May 23, 2001 - April 10, 2003
FIDELITY BROKERAGE SERVICES LLC
March 8, 2000 - April 16, 2001
RUMSON CAPITAL, LLC
December 19, 1995 - November 30, 1998
UBS CAPITAL MARKETS L.P.
May 3, 1991 - December 31, 1996
CHARLES SCHWAB & CO., INC.
January 18, 1990 - April 26, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 1989 - January 20, 1990
THE STUART-JAMES COMPANY, INCORPORATED
November 17, 1988 - January 3, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 17, 1988 - January 3, 1989
EQUITABLE ADVISORS, LLC
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 7TO
Date: 4/18/2023
General Securities Representative ExaminationSeries 57TO
Date: 4/18/2023
Securities Trader ExamSeries 55
Date: 10/20/1998
Limited Representative-Equity Trader ExamSeries 8
Date: 2/24/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
