Steven A. Meisner
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 Adam Meisner was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1992. Steven had worked at 9 firms and has passed the Series 63, SIE, Series 34, Series 3, Series 55, Series 7, Series 6 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
January 12, 2015 - April 30, 2015
CCM SECURITIES, LLC
March 11, 2013 - January 20, 2015
SEACAP SECURITIES LLC
August 4, 2009 - March 12, 2012
OBEX SECURITIES LLC
November 6, 2007 - April 20, 2009
PALI CAPITAL, INC.
June 6, 1996 - June 29, 2007
JEFFERIES LLC
July 8, 1994 - June 11, 1996
HERZOG, HEINE, GEDULD, LLC
April 5, 1994 - July 14, 1994
H.J. MEYERS & CO., INC.
January 1, 1994 - April 7, 1994
REICH & CO., INC.
December 14, 1992 - June 9, 1993
PRUCO SECURITIES, LLC.
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: 2/23/1999
Limited Representative-Equity Trader ExamCurrent Firm
CCM SECURITIES, LLC
CRD#: 104457 / SEC#: , 8-52911
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
