Steve V. Munoz
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.
Steve Victor Munoz, who also goes by Steven VIctor Munoz, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1991. Steve had worked at 10 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
October 9, 2002 - May 29, 2003
EMPIRE FINANCIAL GROUP, INC.
May 24, 2000 - September 25, 2000
CENTENNIAL CAPITAL MANAGEMENT, INC.
January 30, 1998 - June 17, 1998
VFG SECURITIES, INC.
June 19, 1997 - August 29, 1997
SMITH CULVER INVESTMENTS
May 29, 1996 - April 3, 1997
GILFORD SECURITIES INCORPORATED
August 23, 1994 - June 14, 1996
H.J. MEYERS & CO., INC.
September 17, 1993 - May 26, 1994
CIBC WORLD MARKETS CORP.
July 31, 1993 - August 13, 1993
CITIGROUP GLOBAL MARKETS INC.
December 18, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
June 7, 1991 - January 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
EMPIRE FINANCIAL GROUP, INC.
CRD#: 28759 / SEC#: , 8-43949
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JESUP AND LAMONT, INC | HOLDING COMPANY | |
| UCHENIK, VLAD | FINOP, COO, CFO | 4071805 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
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.
