Steven A. Rockwell
Professional summary
Steven Arthur Rockwell is a registered financial professional currently at BENGUR BRYAN & CO., INC. located in Baltimore, Maryland.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 16 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Arthur Rockwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2017 - Present
BENGUR BRYAN & CO., INC.
Office #1: 509 South Exeter Street Suite 210, Baltimore, MD 21202July 27, 2015 - July 14, 2016
BTIG, LLC
February 14, 2014 - June 29, 2015
JANNEY MONTGOMERY SCOTT LLC
November 9, 1998 - November 8, 1999
FERRIS, BAKER WATTS, LLC
September 1, 1997 - October 23, 1998
DB ALEX. BROWN LLC
July 29, 1992 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/7/2017)
Exams
Series 62
Date: 7/24/1992
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
BENGUR BRYAN & CO., INC.
CRD#: 36290 / SEC#: , 8-47072
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRYAN, CHARLES ALAN | CHIEF COMPLIANCE OFFICER | 1587605 |
Red Flags
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