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Steven A. Souhrada

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CRD#: 2305922
SS

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 Ambrose Souhrada was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 31, 2018 - October 29, 2018

BENJAMIN & JEROLD BROKERAGE I, LLC

BD
CRD#: 29110
NEW YORK, NY
Past

May 4, 2015 - February 9, 2016

CLARKSONS SECURITIES, INC

BD
CRD#: 30882
NEW YORK, NY
Past

February 8, 2012 - October 1, 2015

D/B/A CLARKSONS PLATOU SECURITIES

BD
CRD#: 113325
NEW YORK, NY
Past

February 2, 2010 - December 2, 2011

MADISON WILLIAMS AND COMPANY

BD
CRD#: 149530
NEW YORK, NY
Past

April 20, 2004 - February 18, 2010

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

April 29, 2002 - April 14, 2004

RYAN BECK & CO.

BD
CRD#: 3248
FLORHAM PARK, NJ
Past

November 30, 2000 - May 20, 2002

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

June 28, 1999 - December 20, 2000

TUCKER ANTHONY INCORPORATED

BD
CRD#: 837
BOSTON, MA
Past

November 12, 1998 - June 22, 1999

UST FINANCIAL SERVICES CORP.

BD
CRD#: 36881
NEW YORK, NY
Past

April 29, 1996 - September 23, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

May 20, 1993 - March 15, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/10/1993
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 7
Date: 5/19/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/20/2012
General Securities Principal Examination

Current Firm

B&
BENJAMIN & JEROLD BROKERAGE I, LLC
ALTERNATIVE INVESTMENT STORE | OPAL CAPITAL GROUP | MCCAULEY GROUP | GLOBAL SHARES EXECUTION SERVICES | GGK GROUP | DA GAMA PARTNERS | D.E. MACGOWN & CO | CURATED CAPITAL GROUP | BENJAMIN & JEROLD BROKERAGE, INC. | BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110 / SEC#: , 8-44133

BD
Terminated by SEC on 04/13/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 02/01/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DOLAN, TERENCE JR.CEO, CCO, AML, OWNER2352516

Disclosures

Regulatory Event6
Arbitration3

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

BENJAMIN & JEROLD BROKERAGE I, LLC

CRD#: 29110

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