Stephen C. Palumbo
Professional summary
Stephen Craig Palumbo was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Stephen had worked at 4 firms, which includes H G I, INVESTORS ASSOCIATES INC., STRATTON OAKMONT INC., J. T. MORAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 1992 - June 6, 1997
H G I
July 18, 1991 - April 16, 1992
INVESTORS ASSOCIATES, INC.
November 17, 1989 - June 18, 1991
STRATTON OAKMONT INC.
October 25, 1989 - November 24, 1989
J. T. MORAN & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
H G I
CRD#: 14079 / SEC#: , 8-30233
Contact information
Documents
Red Flags
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