Steven I. Hein
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 Ira Hein, who also goes by Steven I Hein, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2017 - March 28, 2022
REDI GLOBAL TECHNOLOGIES LLC
January 11, 2013 - December 19, 2013
AQUA SECURITIES L.P.
March 15, 2011 - February 14, 2012
NATWEST MARKETS SECURITIES INC.
January 7, 2002 - March 29, 2004
VIRTU ALTERNET SECURITIES LLC
October 26, 2001 - March 14, 2011
VIRTU ITG LLC
January 5, 1996 - June 8, 2000
BGC FINANCIAL, L.P.
August 16, 1995 - August 29, 1995
HILLIARD FARBER SECURITIES CORP.
August 16, 1995 - August 29, 1995
DEALERWEB LLC
January 25, 1993 - August 18, 1995
CEDAR STREET SECURITIES CORP.
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 55
Date: 11/20/2001
Limited Representative-Equity Trader ExamCurrent Firm
REDI GLOBAL TECHNOLOGIES LLC
CRD#: 41924 / SEC#: , 8-49673
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
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.
