Steven Pagartanis
Professional summary
Steven Pagartanis was barred by both the FINRA and the SEC 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 1989. Prior to being barred, Steven had worked at 12 firms, which includes LOMBARD SECURITIES INCORPORATED, CADARET GRANT & CO. INC., WOODBURY FINANCIAL SERVICES INC., INVEST FINANCIAL CORPORATION, YANKEE FINANCIAL GROUP INC., PARK AVENUE SECURITIES LLC, GUARDIAN INVESTOR SERVICES LLC, TOWER SQUARE SECURITIES INC., SIGNATOR INVESTORS INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2017 - March 17, 2018
LOMBARD SECURITIES INCORPORATED
September 17, 2012 - March 20, 2017
CADARET, GRANT & CO., INC.
August 24, 2011 - September 27, 2012
WOODBURY FINANCIAL SERVICES, INC.
January 3, 2006 - September 13, 2011
CADARET, GRANT & CO., INC.
December 7, 2005 - February 1, 2006
INVEST FINANCIAL CORPORATION
August 28, 2003 - December 8, 2005
CADARET, GRANT & CO., INC.
December 5, 2002 - September 8, 2003
YANKEE FINANCIAL GROUP, INC.
May 3, 1999 - October 30, 2002
PARK AVENUE SECURITIES LLC
October 9, 1997 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
July 18, 1996 - September 19, 1997
TOWER SQUARE SECURITIES, INC.
January 11, 1995 - July 9, 1996
SIGNATOR INVESTORS, INC.
January 10, 1995 - July 9, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 29, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
June 29, 1989 - December 22, 1994
PRUCO SECURITIES, 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
Current Firm
LOMBARD SECURITIES INCORPORATED
CRD#: 27954 / SEC#: , 8-43340
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REYNOLDS, EDWIN MAJOR JR | DIRECTOR, SHAREHOLDER, FIRM PRINCIPAL | 374634 |
| SOCHA, WILLIAM STEPHEN | CHIEF OPERATING OFFICER, OPERATIONS MANAGER, CROP, FINOP, DIRECTOR, SHAREHOLDER | 712323 |
| FOX, CHARLES CURTIS | CO-CEO, DIRECTOR, AND SHAREHOLDER | 1201770 |
| JONES, RUTH PORTER | DIRECTOR AND SHAREHOLDER | 842232 |
| PETER, EMIL III | SHAREHOLDER | |
| SLAGLE, BRIAN LEE | DIRECTOR AND SHAREHOLDER | 2895570 |
| DONLAN WELKER, TERRY LYNN | CHIEF COMPLIANCE OFFICER | 2825889 |
| OATES, DONALD EUGENE | DIRECTOR AND SHAREHOLDER | 1180250 |
| SONNIER, EDWARD DAVID II | DIRECTOR AND SHAREHOLDER | 2479370 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 4 |
Red Flags
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