Steven R. Boccone
Professional summary
Steven Robert Boccone was barred by the FINRA 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 1995. Prior to being barred, Steven had worked at 2 firms, which includes RZB SECURITIES LLC, NAVA SC SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 1998 - February 16, 2001
RZB SECURITIES LLC
April 13, 1995 - December 15, 1997
NAVA SC SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
RZB SECURITIES LLC
CRD#: 45736 / SEC#: , 8-51150
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAIFFEISEN ZENTRALBANK OSTERREICH A G | OWNER | |
| BEINTREXLER, DIETER F. | FOREIGN SUPERVISOR BOARD MEMBER | |
| FITZPATRICK, MARIAN ANN | GENERAL SECURITIES PRINCIPAL | 2484364 |
| GRUND, GERHARD | FOREIGN SUPERVISOR BOARD MEMBER | |
| HAGEN, JOHN ALFRED | FINANCIAL & OPERATIONS PRINCIPAL | 1464457 |
| SAECKL, CHRISTIAN | FOREIGN SUPERVISOR BOARD MEMBER |
Red Flags
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