Steven B. Sitzer
Professional summary
Steven Barry Sitzer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Steven had worked at 13 firms, which includes DINOSAUR FINANCIAL GROUP L.L.C, SPARTAN CAPITAL SECURITIES LLC, JOHN THOMAS FINANCIAL, JOSEPH GUNNAR & CO. LLC, AEGIS CAPITAL CORP., OPPENHEIMER & CO. INC., RYAN BECK & CO., GRUNTAL & CO. L.L.C., LAIDLAW GLOBAL SECURITIES INC., PRUDENTIAL EQUITY GROUP LLC, FINANCIAL SQUARE PARTNERS, LEHMAN BROTHERS INC., CIBC WORLD MARKETS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 23, 2014 - August 25, 2015
DINOSAUR FINANCIAL GROUP, L.L.C
July 8, 2013 - August 6, 2014
SPARTAN CAPITAL SECURITIES, LLC
January 16, 2013 - June 18, 2013
JOHN THOMAS FINANCIAL
June 12, 2009 - December 21, 2012
JOSEPH GUNNAR & CO. LLC
May 19, 2006 - June 5, 2008
AEGIS CAPITAL CORP.
October 13, 2003 - May 24, 2006
OPPENHEIMER & CO. INC.
April 29, 2002 - October 20, 2003
RYAN BECK & CO.
October 13, 1998 - May 13, 2002
GRUNTAL & CO., L.L.C.
May 27, 1997 - October 19, 1998
LAIDLAW GLOBAL SECURITIES, INC.
February 22, 1996 - May 28, 1997
PRUDENTIAL EQUITY GROUP, LLC
October 6, 1994 - February 22, 1996
FINANCIAL SQUARE PARTNERS
August 28, 1991 - October 21, 1994
LEHMAN BROTHERS INC.
July 8, 1991 - August 26, 1991
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
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Exams
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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