Steven C. Cline
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 Charles Cline, who also goes by Steve Cline, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 12 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2016 - August 14, 2023
AVATAR SECURITIES, LLC
May 20, 2014 - July 8, 2014
BEACON GATE LLC
May 20, 2014 - July 11, 2014
G-2 TRADING,LLC
October 1, 2012 - September 6, 2013
ECHOTRADE LLC
June 1, 2011 - June 4, 2012
MERRION SECURITIES, LLC
October 15, 2008 - May 2, 2011
SAMUEL A. RAMIREZ & COMPANY, INC.
May 23, 2008 - April 6, 2009
RAMIREZ TRADETREK SECURITIES LLC
September 27, 2005 - February 25, 2008
MAXIM GROUP LLC
April 12, 2002 - September 21, 2005
MERRION SECURITIES, LLC
August 17, 1992 - March 12, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
October 1, 1990 - January 8, 1992
HERZOG, HEINE, GEDULD, LLC
January 8, 1990 - February 20, 1990
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
January 8, 1990 - February 20, 1990
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/15/1999
Limited Representative-Equity Trader ExamCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
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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