Stephen S. Baldante
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 Scott Baldante was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 9, 2014 - October 3, 2014
THE O.N. EQUITY SALES COMPANY
August 2, 2013 - September 30, 2013
ON INVESTMENT MANAGEMENT CO
August 2, 2013 - September 30, 2013
THE O.N. EQUITY SALES COMPANY
June 28, 2012 - January 28, 2013
MSI FINANCIAL SERVICES, INC.
April 10, 2012 - January 28, 2013
MSI FINANCIAL SERVICES, INC.
April 29, 2011 - January 18, 2012
AVATAR SECURITIES, LLC
October 26, 2001 - April 5, 2002
TRINIX SECURITIES LLC
March 11, 1999 - November 4, 1999
HEARTLAND SECURITIES CORP.
April 20, 1998 - December 3, 1998
HEARTLAND SECURITIES CORP.
January 16, 1997 - April 21, 1998
ICAPITAL MARKETS 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
Exams
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
Red Flags
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