Steven E. Goune
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 Etienne Goune, who also goes by Steven E Goune, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 7, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2014 - December 10, 2014
TRANSCEND CAPITAL
September 28, 2010 - June 11, 2012
BNP PARIBAS SECURITIES CORP.
October 23, 2006 - September 16, 2010
SG AMERICAS SECURITIES, LLC
November 18, 2005 - November 2, 2006
TRANSCEND CAPITAL
February 19, 2003 - June 7, 2004
BLOOMBERG TRADEBOOK LLC
June 8, 2001 - September 4, 2001
KERSHNER TRADING GROUP, LLC
June 8, 2001 - March 7, 2002
TRANSCEND CAPITAL
June 8, 2001 - April 12, 2002
PROTRADER SECURITIES L.P.
January 29, 2001 - June 6, 2001
MYD MARKET, INC
October 7, 1998 - June 19, 2001
GROVE POINT INVESTMENTS, LLC
December 12, 1997 - October 19, 1998
AVANTAX INVESTMENT SERVICES, INC.
April 6, 1994 - June 24, 1996
MEYERS POLLOCK ROBBINS, INC.
March 26, 1993 - February 1, 1994
THE CHAPMAN CO.
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: 1/22/2002
Limited Representative-Equity Trader ExamCurrent Firm
TRANSCEND CAPITAL
CRD#: 104483 / SEC#: , 8-52946
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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