AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SZ

Steven P. Zaicek

Some features on this profile are disabled
CRD#: 2247292
SZ

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.

Steven Paul Zaicek, who also goes by Steven P Zaicek, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 12 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven P Zaicek

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

December 5, 2001 - January 2, 2002

SANDGRAIN SECURITIES LLC

BD
CRD#: 26004
GARDEN CITY, NY
Past

December 6, 1999 - May 2, 2000

MAGNUM SECURITIES OF NEW YORK INC.

BD
CRD#: 39267
NEW YORK, NY
Past

March 22, 1999 - December 23, 1999

JWGENESIS SECURITIES, INC.

BD
CRD#: 33832
BOCA RATON, FL
Past

July 24, 1998 - October 6, 1998

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

May 16, 1998 - July 24, 1998

THE BOSTON GROUP

BD
CRD#: 37652
LOS ANGELES, CA
Past

February 10, 1998 - May 14, 1998

WALDRON & CO., INC.

BD
CRD#: 868
IRVINE, CA
Past

August 20, 1997 - November 17, 1997

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA
Past

April 7, 1997 - July 16, 1997

MAIDSTONE FINANCIAL, INC.

BD
CRD#: 31804
NEW YORK, NY
Past

December 20, 1994 - May 6, 1997

FIRST CAMBRIDGE SECURITIES CORPORATION

BD
CRD#: 21846
NEW YORK, NY
Past

August 22, 1994 - December 21, 1994

COMMONWEALTH ASSOCIATES

BD
CRD#: 20833
NEW YORK, NY
Past

April 22, 1994 - September 20, 1994

A.S. GOLDMEN & CO., INC.

BD
CRD#: 23180
RED BANK, NJ
Past

August 26, 1992 - May 6, 1994

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 8/31/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/25/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/21/1995
General Securities Principal Examination

Current Firm

SS
SANDGRAIN SECURITIES LLC
SANDGRAIN SECURITIES LLC | SANDGRAIN SECURITIES, INC.

CRD#: 26004 / SEC#: , 8-42262

BD
Terminated by SEC on 09/27/2013
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/31/2011
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
KRH AQUISITION LLCSHAREHOLDER
RAFFERTY HOLDINGS LLCSHAREHOLDER
HAY, KATHLEEN RAFFERTYPRESIDENT, CEO5045127
NAPOLITANO, ANTHONY FRIEDCHIEF COMPLIANCE OFFICER
SPRAGUE, STEPHEN PACKARDFINOP2516579

Disclosures

Regulatory Event2
Arbitration1

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

SANDGRAIN SECURITIES LLC

CRD#: 26004

TRUST BUT VERIFY

Monitor Steven Zaicek

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.