Steven L. Cronin
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.
Steven Lloyd Cronin was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 8 firms and has passed the Series 63, Series 25, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2009 - February 23, 2010
WELLS FARGO PRIME SERVICES, LLC
August 5, 2009 - December 15, 2009
WILMINGTON CAPITAL SECURITIES, LLC
February 9, 2006 - February 27, 2009
SCHONFELD SECURITIES, LLC
June 13, 2003 - February 9, 2006
BASELINE SECURITIES, INC.
April 30, 2002 - July 2, 2003
LL PARTNERS, INC.
August 31, 1999 - February 9, 2006
LABRANCHE FINANCIAL SERVICES, LLC
April 12, 1999 - July 20, 1999
AXIOM CAPITAL MANAGEMENT, INC.
August 15, 1996 - April 20, 1999
JWGENESIS 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
Series 25
Date: 5/18/2000
NYSE Trading Assistant ExaminationCurrent Firm
WELLS FARGO PRIME SERVICES, LLC
CRD#: 133068 / SEC#: , 8-66677
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | OWNER | |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| HALL, JEFFREY | CHIEF OPERATIONS OFFICER | 5292396 |
| KEARNS, WILLIAM J | MANAGER | 2127701 |
| LANGIS, DARREN JOSEPH | MANAGER | 2781108 |
| LEONE, JOHN | MANAGER | 7164476 |
| MCCOOEY, EAMON PATRICK | CEO, PRESIDENT, MANAGER | 1762536 |
| RILEY, MICHAEL FRANCIS | MANAGER | 4165280 |
| YI, SCOTT HUN | CHIEF COMPLIANCE OFFICER | 3152646 |
Disclosures
| Regulatory Event | 4 |
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.
