Timothy F. Steffen
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.
Timothy Francis Steffen, who also goes by Timothy F Steffen, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1991. Timothy had worked at 8 firms and has passed the Series 63, Series 79TO, SIE 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
March 2, 2012 - August 2, 2022
HOULIHAN LOKEY CAPITAL, INC.
March 25, 2010 - May 10, 2011
NOMURA SECURITIES NORTH AMERICA, LLC
January 25, 2010 - January 6, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
July 16, 2004 - November 4, 2008
LEHMAN BROTHERS INC.
July 25, 2000 - July 2, 2004
MORGAN STANLEY & CO. LLC
May 29, 2000 - July 25, 2000
THE BEACON GROUP CAPITAL SERVICES, L.L.C.
February 9, 2000 - April 28, 2000
UBS SECURITIES LLC
August 27, 1991 - July 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HOULIHAN LOKEY CAPITAL, INC.
CRD#: 17708 / SEC#: , 8-35643
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOULIHAN LOKEY AMERICAS (HOLDINGS) LLC | DIRECT OWNER OF HOULIHAN LOKEY CAPITAL, INC. | |
| ADELSON, SCOTT JOSEPH | PRESIDENT/CEO AND DIRECTOR (HLI) | 2147111 |
| ALLEY, JAMES LINDSEY | TREASURER/CHIEF FINANCIAL OFFICER (HLI) | 2394515 |
| BEISER, SCOTT LEE | VICE PRESIDENT/CO-CHAIRMAN AND DIRECTOR (HLI) | 2026185 |
| BEN-CANAAN, MARC AVI | CCO/AMLCO | 4885345 |
| CRAIN, CHRISTOPHER MADISON | SECRETARY/GENERAL COUNSEL | |
| TANIGUCHI, EDWARD NEAL | CHIEF FINANCIAL OFFICER, FINOP | 4632869 |
| YAMARONE, CHARLES ANTHONY III | CHIEF CORP.GOVERNANCE & COMPLIANCE OFFICER, HLI | 2190400 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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