Steven J. Carlson

MARCO POLO SECURITIES

NEW YORK, NY 10020

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CRD#: 2026011

Professional summary

Steven Jack Carlson is a registered financial professional currently at MARCO POLO SECURITIES INC. located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1990. Steven has worked at 8 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 2, 2017 - Present

MARCO POLO SECURITIES INC.

Office #1: 1230 Avenue Of Am 16th Floor, New York, NY 10020Office #2: 1230 Avenue Of Am 16th Floor, New York, NY 10020

CRD#: 46561

NEW YORK, NY

Past

April 14, 2016 - June 12, 2017

BRADLEY WOODS & CO. LTD.

CRD#: 13660

NEW YORK, NY

Past

September 22, 2010 - April 1, 2016

STONEX FINANCIAL INC.

CRD#: 45993

New York, NY

Past

June 12, 2000 - November 30, 2010

PROVIDENT INTERNATIONAL SECURITIES, INC.

CRD#: 103834

NEW YORK CITY, NY

Past

April 26, 2000 - October 9, 2000

CFC SECURITIES, INC.

CRD#: 44748

NEW YORK, NY

Past

January 10, 1990 - July 18, 1994

LEHMAN SPECIAL SECURITIES INC.

CRD#: 7242

Past

January 10, 1990 - October 23, 1995

LEHMAN GOVERNMENT SECURITIES INC.

CRD#: 19655

Past

January 10, 1990 - July 16, 1998

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(7/31/2017)

Hawaii
(8/22/2024)

Kansas
(8/26/2024)

Maine
(8/12/2024)

Maryland
(4/29/2025)

Massachusetts
(5/19/2024)

Missouri
(11/21/2024)

New York
(3/2/2017)

Oklahoma
(8/28/2024)

Puerto Rico
(5/21/2025)

Exams

State Security Law Exam

Series 63

Date: 5/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/29/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/14/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 11/21/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

MARCO POLO SECURITIES INC.

DEVINE SECURITIES INC. | MARCO POLO SECURITIES INC.

CRD#: 46561 / SEC#: , 8-51480

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1230 Avenue Of Am 16th Floor, New York, NY 10020

Mailing Address

1230 Avenue Am 16th Floor, New York, NY 10020

Phone number

(347) 773-4959

Established

New York since 10/26/1998

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
MARCO POLO EXCHANGE LLC	OWNER
CARLSON, STEVEN JACK	CHAIRMAN & PRESIDENT, MANAGER OF CORP FIN, AND DIRECTOR	2026011
EBERSTADT, OLIVER ROBERT	CCO	1808170
MACK, ALEXANDER HERBERT	FINOP	4805607

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Steven J. Carlson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Jack Carlson's CRS (Customer Relationship Summary).

Certified licenses

Experience

BRADLEY WOODS & CO. LTD.

STONEX FINANCIAL INC.

PROVIDENT INTERNATIONAL SECURITIES, INC.

CFC SECURITIES, INC.

LEHMAN SPECIAL SECURITIES INC.

LEHMAN GOVERNMENT SECURITIES INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/28/1997

Series 79TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 4/29/1993

Series 24

Date: 4/14/2000

Series 8

Date: 11/21/1996

FINRA

Current Firm

MARCO POLO SECURITIES INC.

Contact information

FINRA licenses (35 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

MARCO POLO SECURITIES INC.

TRUST BUT VERIFY

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