Stephen A. Liddy
Professional summary
Stephen Andrew Liddy, who also goes by Stephen Andrew Liddy Jr, is a registered financial professional currently at LPS CAPITAL LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1997. Stephen has worked at 11 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Andrew Liddy's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 29, 2024 - Present
LPS CAPITAL LLC
Office #1: 600 Lexington Avenue Suite 502, New York, NY 10022July 20, 2023 - July 30, 2024
TJM INVESTMENTS, LLC
February 4, 2015 - December 20, 2022
DEALERWEB LLC
November 26, 2012 - March 7, 2013
PIERPONT CAPITAL ADVISORS LLC
June 11, 2012 - December 4, 2014
SANTANDER US CAPITAL MARKETS LLC
May 13, 2010 - May 7, 2012
TD SECURITIES (USA) LLC
January 20, 2009 - May 5, 2010
CANTOR FITZGERALD & CO.
April 19, 2004 - August 8, 2008
COUNTRYWIDE SECURITIES CORPORATION
December 1, 2003 - April 20, 2004
COMMERZ MARKETS LLC
January 22, 2003 - August 19, 2003
MORGAN STANLEY MARKET PRODUCTS INC.
January 23, 1997 - August 19, 2003
MORGAN STANLEY & CO. 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
(7/30/2024)
(7/30/2024)
(7/29/2024)
Exams
FINRA
Current Firm
LPS CAPITAL LLC
CRD#: 155246 / SEC#: , 8-68706
Contact information
FINRA licenses (28 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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