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SR

Steven A. Rockwell

BENGUR BRYAN & CO.
Baltimore, MD 21202
Some features on this profile are disabled
CRD#: 2259158
SR

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.

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) - BD

Click below to view Steven Arthur Rockwell'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

November 6, 2017 - Present

BENGUR BRYAN & CO., INC.

Office #1: 509 South Exeter Street Suite 210, Baltimore, MD 21202
BD
CRD#: 36290
Baltimore, MD
Past

July 27, 2015 - July 14, 2016

BTIG, LLC

BD
CRD#: 122225
NEW YORK, NY
Past

February 14, 2014 - June 29, 2015

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
TOWSON, MD
Past

November 9, 1998 - November 8, 1999

FERRIS, BAKER WATTS, LLC

BD
CRD#: 285
BALTIMORE, MD
Past

September 1, 1997 - October 23, 1998

DB ALEX. BROWN LLC

BD
CRD#: 17790
BALTIMORE, MD
Past

July 29, 1992 - September 1, 1997

ALEX. BROWN & SONS INCORPORATED

BD
CRD#: 20

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
Maryland
(11/7/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 12/5/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 2/14/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 16
Date: 3/9/1999
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 62
Date: 7/24/1992
Corporate Securities Limited Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BB
BENGUR BRYAN & CO., INC.
BENGUR BRYAN & CO., INC.

CRD#: 36290 / SEC#: , 8-47072

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

Main Address
509 South Exeter Street Suite 210, Baltimore, MD 21202
Mailing Address
509 South Exeter Street Suite 210, Baltimore, MD 21202
Phone number
(443) 573-3030
Established
Maryland since 06/02/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BRYAN, CHARLES ALANCHIEF COMPLIANCE OFFICER1587605

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

BENGUR BRYAN & CO., INC.

CRD#: 36290Baltimore, MD 21202

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