Steven D. Hotovec
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 David Hotovec was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1992. Steven had worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2005 - January 3, 2025
N4 FINANCIAL, INC.
February 7, 2005 - September 1, 2005
LEGEND MERCHANT GROUP, INC.
September 15, 2004 - September 1, 2005
LEGEND MERCHANT GROUP, INC.
January 2, 2003 - June 17, 2004
CAPSTONE INVESTMENTS
January 3, 1997 - December 31, 2002
HOTOVEC, POMERANZ & CO., LLC
September 16, 1996 - September 23, 1999
FIRST ALLIED SECURITIES, INC.
April 25, 1994 - September 10, 1996
ROUND HILL SECURITIES, INC.
July 31, 1993 - May 9, 1994
CITIGROUP GLOBAL MARKETS INC.
July 13, 1992 - July 31, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
N4 FINANCIAL, INC.
CRD#: 134581 / SEC#: , 8-66849
Contact information
Documents
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.
