Steven L. Fisher
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 L Fisher, who also goes by Steven Fisher, Stevn Fisher, Steven Leonid Fishilevich, Steven Fishilevich, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1989. Steven had worked at 20 firms and has passed the Series 66, Series 63 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 21, 2010 - December 7, 2012
DAWSON JAMES SECURITIES, INC.
August 3, 2009 - September 17, 2010
LAMPERT CAPITAL MARKETS INC.
March 25, 2008 - August 5, 2009
CHICAGO INVESTMENT GROUP, LLC
January 19, 2006 - April 4, 2008
EASTBROOK CAPITAL GROUP LLC
September 14, 2004 - February 15, 2006
JOSEPH STEVENS & CO., INC.
June 22, 2001 - October 11, 2004
GILFORD SECURITIES INCORPORATED
January 2, 2001 - June 25, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 7, 1998 - January 2, 2001
JWGENESIS SECURITIES, INC.
July 24, 1998 - September 16, 1998
NATIONAL SECURITIES CORPORATION
January 8, 1998 - July 24, 1998
THE BOSTON GROUP
November 25, 1996 - December 23, 1997
HAMPSHIRE SECURITIES CORPORATION
August 8, 1994 - September 30, 1996
STATE CAPITAL MARKETS CORPORATION
June 22, 1994 - July 14, 1994
WILLIAM SCOTT & CO. L.L.C.
April 19, 1994 - July 6, 1994
GAINEY FINANCIAL SERVICES, INC.
April 4, 1994 - May 16, 1994
BUTTONWOOD SECURITIES, INC.
January 27, 1993 - March 15, 1994
COMMONWEALTH ASSOCIATES
April 28, 1992 - February 17, 1993
LEHMAN BROTHERS INC.
June 7, 1991 - April 28, 1992
LCP CAPITAL CORP.
March 7, 1991 - June 20, 1991
JOSEPHTHAL & CO., INC.
May 29, 1990 - March 22, 1991
COMMONWEALTH ASSOCIATES
February 15, 1990 - June 22, 1990
JOSEPHTHAL & CO., INC.
December 19, 1989 - January 18, 1990
GRUNTAL & CO., L.L.C.
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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
