Stephen Somers
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.
Stephen Somers, who also goes by Steve Somers, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1991. Stephen had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2000 - October 13, 2003
NAVILLUS SECURITIES, INC.
September 29, 1993 - October 1, 1994
ELECTRONIC TRADING SYSTEMS, L.P.
July 31, 1993 - August 31, 1993
CITIGROUP GLOBAL MARKETS INC.
June 2, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
June 10, 1991 - June 19, 1992
MCLAUGHLIN, PIVEN, VOGEL SECURITIES, 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
Exams
Current Firm
NAVILLUS SECURITIES, INC.
CRD#: 31230 / SEC#: , 8-45424
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SULLIVAN, WILLIAM JOSEPH | CHAIRMAN/CEO/CFO/DIRECTOR | 2312200 |
| NEXTRADE HOLDINGS | SHAREHOLDER | |
| BOURDOW, ANTHONY WILLIAM | FINANCIAL/OPERATIONS PRINCIPAL | 1322617 |
| COX, DEWITT CLINTON III | SHAREHOLDER | 3040461 |
| SHERIDAN, JOSEPH BARTON SR | SECRETARY/VICE PRESIDENT/DIRECTOR | 2352613 |
| STEFF, TIMOTHY MARTIN | VICE PRESIDENT | 2349086 |
| SULLIVAN, DANIEL FRANCIS | PRESIDENT/DIRECTOR | 2312207 |
Disclosures
| Regulatory Event | 3 |
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.
