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SG

Stephen S. Gladstone

Some features on this profile are disabled
CRD#: 222612
SG

Professional summary

Stephen Spencer Gladstone was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stephen is a previously registered financial professional and started their career in finance in 1972. Prior to being barred, Stephen had worked at 11 firms, which includes LIBERTY ASSOCIATES INC., OBEX SECURITIES LLC, NOBLE CAPITAL MARKETS INC., LIGHTHOUSE FINANCIAL GROUP LLC, IRC SECURITIES, TP ICAP GLOBAL MARKETS AMERICAS LLC, GGET LLC., BMO CAPITAL MARKETS CORP., WEEDEN & CO.L.P., MOSELEY SECURITIES CORPORATION, WEEDEN & CO..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 16, 2017 - May 29, 2020

LIBERTY ASSOCIATES, INC.

BD
CRD#: 15071
NEW YORK, NY
Past

March 16, 2015 - March 18, 2016

OBEX SECURITIES LLC

BD
CRD#: 120002
NEW ROCHELLE, NY
Past

May 1, 2012 - September 27, 2012

NOBLE CAPITAL MARKETS, INC.

BD
CRD#: 15768
NEW YORK, NY
Past

April 9, 2009 - April 14, 2010

LIGHTHOUSE FINANCIAL GROUP, LLC

BD
CRD#: 103734
NEW YORK, NY
Past

March 13, 2009 - April 9, 2009

IRC SECURITIES

BD
CRD#: 16049
NEW YORK, NY
Past

November 14, 2006 - March 20, 2007

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

July 12, 2001 - May 25, 2006

GGET, LLC.

BD
CRD#: 107899
GREENWICH, CT
Past

October 2, 2000 - January 4, 2002

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY
Past

January 9, 2000 - October 11, 2000

BMO CAPITAL MARKETS CORP.

BD
CRD#: 16686
NEW YORK, NY
Past

January 21, 1986 - October 6, 1997

WEEDEN & CO.L.P.

BD
CRD#: 16835
GREENWICH, CT
Past

June 21, 1978 - January 1, 1986

MOSELEY SECURITIES CORPORATION

BD
CRD#: 7908
Past

July 11, 1972 - February 23, 1979

WEEDEN & CO.

BD
CRD#: 878

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 1
Date: 7/5/1972
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/1987
General Securities Principal Examination

Current Firm

LA
LIBERTY ASSOCIATES, INC.
LIBERTY ASSOCIATES, INC.

CRD#: 15071 / SEC#: , 8-31505

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

Main Address
501 Fifth Avenue 15th Floor, New York, NY, 10017
Mailing Address
501 Fifth Aveue 15th Floor, New York, NY, 10017
Phone number
(212) 869-8224
Established
New York since 02/28/1984
Firm type
Corporation
Fiscal year end
January
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AZRILIANT, EVAN BRETOWNER6893576
LINDH, ALLISON MARIECHIEF COMPLIANCE OFFICER/CHIEF EXECUTIVE OFFICER6309401

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

LIBERTY ASSOCIATES, INC.

CRD#: 15071

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