Steven L. Ezzes
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 Leo Ezzes was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1971. Steven had worked at 12 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7, PC, Series 3, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2018 - July 1, 2020
COHEN & COMPANY SECURITIES, LLC
September 7, 2009 - January 11, 2016
MARINER GROUP CAPITAL MARKETS, LLC
July 20, 1998 - October 28, 1999
COWEN AND COMPANY
June 24, 1998 - July 6, 1998
SCOTIA CAPITAL (USA) INC.
November 17, 1992 - January 27, 1995
LEHMAN BROTHERS INC.
July 9, 1985 - May 4, 1988
GOLDMAN SACHS & CO. LLC
January 19, 1984 - June 26, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
January 12, 1984 - July 5, 1985
LEHMAN BROTHERS INC.
February 9, 1982 - December 12, 1983
LAZARD FRERES & CO. LLC
June 9, 1980 - January 19, 1982
SALOMON BROTHERS INC.
February 27, 1980 - May 15, 1980
MORGAN STANLEY & CO. LLC
December 1, 1976 - February 27, 1980
MORGAN STANLEY & CO., INCORPORATED
August 24, 1971 - March 22, 1972
CANTOR FITZGERALD & CO.
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 79TO
Date: 12/22/2022
Investment Banking Registered Representative ExaminationPC
Date: 7/9/1985
AMEX Put and Call ExamSeries 1
Date: 8/19/1971
Registered Representative ExaminationSeries 8
Date: 10/13/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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