Steven E. Perez
Professional summary
Steven E Perez, who also goes by Steven E. Perez, Steven Enrique Perez, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 11 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven E Perez's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 7, 2023 - Present
MAREX CAPITAL MARKETS INC.
Office #1: 140 East 45th Street 10th Floor, New York, NY 10017October 11, 2017 - August 28, 2023
MIRAE ASSET SECURITIES (USA) INC.
December 18, 2015 - October 3, 2017
RABO SECURITIES USA, INC.
July 8, 2015 - November 2, 2015
BGC FINANCIAL, L.P.
April 30, 2015 - July 10, 2015
NYLIFE SECURITIES LLC
January 30, 2007 - August 15, 2014
ING FINANCIAL MARKETS LLC
September 28, 2006 - January 31, 2007
DEALERWEB LLC
May 13, 2004 - September 22, 2006
BGC FINANCIAL, L.P.
October 10, 2003 - April 30, 2004
CANTOR FITZGERALD SECURITIES
July 16, 2003 - October 7, 2003
BGC FINANCIAL, L.P.
April 5, 2000 - February 3, 2003
DAIWA CAPITAL MARKETS AMERICA INC.
June 6, 1998 - March 10, 2000
AUBREY G. LANSTON & CO., INC.
February 9, 1995 - February 12, 1998
CITIGROUP GLOBAL MARKETS 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
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
