Stephen Fromm
Professional summary
Stephen Fromm, who also goes by Stephen Arthur Fromm, Steve Fromm, is a registered financial professional currently at SG AMERICAS SECURITIES, LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1991. Stephen has worked at 7 firms and has passed the Series 63, Series 7TO, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Fromm's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 8, 2026 - Present
SG AMERICAS SECURITIES, LLC
Office #1: 245 Park Avenue, New York, NY 10167January 31, 2020 - November 24, 2021
HOWDEN TIGER CAPITAL MARKETS & ADVISORY, LLC
November 29, 2017 - November 30, 2018
STAR MOUNTAIN ADVISORS, LLC
June 19, 2009 - December 23, 2015
DEUTSCHE BANK SECURITIES INC.
September 28, 2004 - April 20, 2009
CITIGROUP GLOBAL MARKETS INC.
April 27, 1994 - September 24, 2004
MORGAN STANLEY & CO. LLC
November 7, 1991 - April 19, 1994
DRESDNER KLEINWORT WASSERSTEIN, 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 7TO
Date: 3/28/2024
General Securities Representative ExaminationSeries 79TO
Date: 3/28/2024
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 3/28/2024
Operations Professional ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CHIEF EXECUTIVE OFFICER | 6390499 |
| CULLEN, EDWARD PATRICK | OPERATIONAL RISK MANAGER | 1551615 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
