Stephen M. Ferretti
Professional summary
Stephen Michael Ferretti, who also goes by Stephen Ferretti, is a registered financial professional currently at FERRETTI GROUP, INC. located in Naples, Florida.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1991. Stephen has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael Ferretti's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 20, 2010 - Present
FERRETTI GROUP, INC.
August 25, 2005 - January 3, 2012
WORLD-XECUTION STRATEGIES
November 26, 1999 - June 14, 2010
FERRETTI GROUP, INC.
April 8, 1998 - December 17, 1998
APEX CLEARING CORPORATION
March 17, 1998 - December 17, 1998
APEX CLEARING CORPORATION
April 4, 1996 - March 17, 1998
APEX CLEARING CORPORATION
December 2, 1992 - January 3, 1996
GOLDMAN SACHS & CO. LLC
December 9, 1991 - September 4, 1992
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/10/2023)
(3/21/2011)
(3/29/2011)
(10/12/2017)
(9/11/2014)
(8/23/2011)
(10/12/2010)
(3/29/2011)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 12
Date: 11/7/1997
NYSE Branch Manager ExaminationFINRA
NYSE American LLC
New York Stock Exchange
Current Firm
FERRETTI GROUP, INC.
CRD#: 47768 / SEC#: , 8-51895
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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