Steven A. Hauck
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 Arthur Hauck was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 3 firms and has passed the Series 63 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
April 5, 1995 - June 4, 2001
E*TRADE CLEARING LLC
July 31, 1993 - March 11, 1994
CITIGROUP GLOBAL MARKETS INC.
February 10, 1993 - July 31, 1993
LEHMAN BROTHERS 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
Exams
Current Firm
E*TRADE CLEARING LLC
CRD#: 25025 / SEC#: , 8-41354
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ENGEL, STEVEN JAY | MANAGER | 6474140 |
| INGGS, DAVID M | MANAGER | 4875173 |
| INGGS, DAVID M | CHIEF EXECUTIVE OFFICER | 4875173 |
| INGGS, DAVID M | PRESIDENT | 4875173 |
| MASTRIANNI, JOSEPH FRANCIS | CHIEF COMPLIANCE OFFICER | 1131254 |
| MURRAY, MATTHEW ANDREW | CHIEF OPERATIONS OFFICER | 4009310 |
| MURRAY, MATTHEW ANDREW | MANAGER | 4009310 |
| SHER, LORI SUE | SECRETARY | 5509677 |
| SIMONICH, BRENT BLAIN | FINOP | 3254859 |
| SIMONICH, BRENT BLAIN | MANAGER | 3254859 |
| SIMONICH, BRENT BLAIN | CHIEF FINANCIAL OFFICER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 1 |
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.
