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SD

Steven P. Deis

LAZEAR CAPITAL SECURITIES
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 2222405
SD

Professional summary

Steven Paul Deis, who also goes by Steve Paul Deis, Steven Paul Dels, is a registered financial professional currently at LAZEAR CAPITAL SECURITIES, LLC located in Columbus, Ohio.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 9 firms and has passed the Series 63, Series 66, Series 79TO, SIE, Series 22, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Paul Deis | Steven Paul Dels

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Paul Deis's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

May 22, 2023 - Present

LAZEAR CAPITAL SECURITIES, LLC

Office #1: 401 N. Front Street Suite 250, Columbus, OH 43215
BD
CRD#: 298578
Columbus, OH
Past

August 2, 2011 - February 9, 2012

MOSAIC CAPITAL SECURITIES, LLC

BD
CRD#: 106637
SHERMAN OAKS, CA
Past

December 26, 2008 - August 24, 2009

SECURITIES AMERICA, INC.

BD
CRD#: 10205
FRESNO, CA
Past

April 3, 2007 - January 23, 2009

EPLANNING SECURITIES, INC.

BD
CRD#: 46000
FRESNO, CA
Past

May 13, 2002 - June 18, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
FRESNO, CA
Past

May 13, 2002 - June 18, 2004

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

July 15, 1999 - May 14, 2002

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
FRESNO, CA
Past

May 21, 1999 - May 14, 2002

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 22, 1998 - May 27, 1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

April 15, 1992 - April 29, 1992

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

April 15, 1992 - April 29, 1992

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(6/26/2024)
RR
Washington
(6/27/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/17/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/23/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/22/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/9/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 4/2/2007
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 5/21/1998
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/13/1992
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LAZEAR CAPITAL SECURITIES, LLC
LAZEAR CAPITAL SECURITIES, LLC

CRD#: 298578 / SEC#: , 8-70203

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
401 N. Front Street Suite 250, Columbus, OH 43215
Mailing Address
401 N. Front Street Suite 250, Columbus, OH 43215
Phone number
(614) 832-8410
Established
Ohio since 07/17/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (34 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BCL HOLDING CORPORATIONOWNER
MRM HOLDINGS, INC.OWNER
SANDOVER CAPITAL, LTD.OWNER
BEATON, DANIEL STEWARTFINOP, PFO, POO4240769
GRIFFITH, ANN MARGARETCHIEF COMPLIANCE OFFICER2936554
PAZARENTZOS, DEMETRIOS ELIASCEO AND DESIGNATED PRINCIPAL7582856

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.

Company Information

LAZEAR CAPITAL SECURITIES, LLC

CRD#: 298578Columbus, OH 43215

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