Stephan H. Lipton
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.
Stephan H Lipton, who also goes by Steve Lipton, was a registered financial professional .
Stephan is a previously registered financial professional and started their career in finance in 1992. Stephan had worked at 9 firms and has passed the Series 63, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2007 - July 30, 2014
MUTUAL OF AMERICA SECURITIES LLC
September 5, 2007 - July 30, 2014
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
November 23, 2005 - March 2, 2007
BROOKSTREET SECURITIES CORPORATION
October 7, 2003 - November 30, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 18, 2003 - November 30, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 2, 2000 - October 15, 2003
CHARLES SCHWAB & CO., INC.
April 26, 2000 - October 15, 2003
CHARLES SCHWAB & CO., INC.
May 6, 1997 - February 25, 2000
MURIEL SIEBERT & CO., LLC
January 31, 1996 - June 28, 1996
AMERIPRISE ADVISOR SERVICES, INC.
November 23, 1994 - November 27, 1995
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - October 11, 1994
CITIGROUP GLOBAL MARKETS INC.
May 25, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
January 21, 1992 - April 26, 1993
LEHMAN BROTHERS 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
Current Firm
MUTUAL OF AMERICA SECURITIES LLC
CRD#: 27878 / SEC#: , 8-43278
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL OF AMERICA HOLDING COMPANY LLC | MEMBER | |
| BAILEY, CHRISTOPHER DAVID | CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4582524 |
| BRANT, DAVID ROBERT | FINANCIAL AND OPERATIONS PRINCIPAL (FINOP), PRINCIPAL FINANCIAL OFFICER (PFO), PRINCIPAL OPERATIONS OFFICER (POO) | 2718478 |
| GREGORY, IVAN BRUCE | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 4984456 |
| JOHNSON, TROY SHERMAN | EXECUTIVE VICE PRESIDENT AND BOARD MANAGER | 3052097 |
| MEDLIN, KYLE LAWRENCE | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5496979 |
| STEINGARTEN, BRIE ANNE ELIZABETH | GENERAL COUNSEL AND SECRETARY | 5373977 |
Red Flags
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