Stephen F. Szostek
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.
Stephen Francis Szostek, who also goes by Steve Szostek, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 14 firms and has passed the Series 65, Series 63, SIE, 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
January 20, 2015 - November 14, 2016
GLOBAL INVESTMENT ADVISORS, LLC
January 20, 2015 - November 14, 2016
ESSEX SECURITIES LLC
February 6, 2012 - January 2, 2015
MARINER
January 25, 2012 - January 12, 2015
NEW ENGLAND SECURITIES
January 24, 2012 - January 12, 2015
NEW ENGLAND SECURITIES
March 22, 2006 - January 24, 2012
KEY INVESTMENT SERVICES LLC
March 22, 2006 - January 24, 2012
KEY INVESTMENT SERVICES LLC
July 2, 2002 - March 14, 2006
STRATEGIC ADVISERS LLC
January 12, 2001 - March 14, 2006
FIDELITY BROKERAGE SERVICES LLC
September 25, 2000 - January 9, 2001
QUICK & REILLY, INC.
January 12, 2000 - September 25, 2000
FIS SECURITIES, INC.
March 23, 1999 - January 12, 2000
SENTRA SECURITIES CORPORATION
January 30, 1997 - April 15, 1999
FIS SECURITIES, INC.
March 30, 1993 - January 29, 1997
OSAIC WEALTH, INC.
January 28, 1992 - April 2, 1993
CITICORP INVESTMENT SERVICES
August 22, 1989 - January 2, 1992
IDS LIFE INSURANCE COMPANY
August 22, 1989 - January 2, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
GLOBAL INVESTMENT ADVISORS, LLC
CRD#: 121442 / SEC#:
Contact information
Red Flags
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