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Steven C. Staltare

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CRD#: 1900739
SS

Professional summary

Steven Carmello Staltare was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Steven had worked at 11 firms, which includes HORNBLOWER & WEEKS INC., GLOBAL FINANCIAL GROUP INC., ROYAL PALM INVESTMENTS LTD., THE HERITAGE GROUP INC., HANOVER STERLING & COMPANY LTD., A. R. BARON & CO. INC., D. H. BLAIR & CO. INC., THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC., KETTLER & COMPANY, POWER SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 8, 2001 - August 27, 2001

HORNBLOWER & WEEKS, INC.

BD
CRD#: 4683
NEW YORK, NY
Past

July 25, 1996 - June 5, 2001

GLOBAL FINANCIAL GROUP, INC.

BD
CRD#: 23958
MINNEAPOLIS, MN
Past

May 7, 1996 - July 11, 1996

ROYAL PALM INVESTMENTS, LTD.

BD
CRD#: 28761
GREEN ACRES, FL
Past

February 5, 1996 - May 28, 1996

THE HERITAGE GROUP, INC.

BD
CRD#: 24906
SAN FRANCISCO, CA
Past

January 3, 1995 - July 11, 1995

HANOVER, STERLING & COMPANY LTD.

BD
CRD#: 15491
NEW YORK, NY
Past

April 28, 1994 - October 18, 1994

A. R. BARON & CO., INC.

BD
CRD#: 29285
NEW YORK, NY
Past

November 16, 1992 - April 27, 1994

D. H. BLAIR & CO., INC.

BD
CRD#: 6833
NEW YORK, NY
Past

February 20, 1990 - May 14, 1990

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

February 20, 1990 - May 14, 1990

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

March 22, 1989 - June 16, 1989

KETTLER & COMPANY

BD
CRD#: 10530
Past

December 12, 1988 - January 24, 1989

POWER SECURITIES CORPORATION

BD
CRD#: 15527

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/23/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/2/1997
General Securities Principal Examination

Current Firm

H&
HORNBLOWER & WEEKS, INC.
BAKER WEEKS, INC. | HORNBLOWER & WEEKS, INC. | FREUNDLICH-LUBECK COMPANY | EC/AMERICAN SECURITIES CORP.

CRD#: 4683 / SEC#: , 8-16493

BD
Terminated by SEC on 12/21/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Georgia since 01/14/1993
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HORNBLOWER & WEEKS FINANCIAL CORPORATIONPARENT
ELLENHORN, ERIC LEECOMPLIANCE OFFICER2199395
ELLENHORN, ERIC LEEGSP, VP, CEO,
LUBITZ, JACKFINOP1566639
ROONEY, JOHN RYANGSP, PRESIDENT.2511607

Disclosures

Regulatory Event15
Arbitration6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

HORNBLOWER & WEEKS, INC.

CRD#: 4683

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