Stephanie Stark
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.
Stephanie Stark was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1993. Stephanie had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 14, Series 53, Series 4, Series 8 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
April 13, 2022 - November 11, 2022
INTERACTIVE BROKERS LLC
December 21, 2005 - August 16, 2006
CITIGROUP GLOBAL MARKETS INC.
August 21, 2003 - October 21, 2005
NORTHERN FUNDS DISTRIBUTORS, LLC
October 31, 2000 - October 18, 2005
NORTHERN TRUST SECURITIES, INC.
November 4, 1997 - October 30, 2000
WINTRUST INVESTMENTS LLC
March 5, 1997 - October 23, 1997
BIRKELBACH INVESTMENT SECURITIES, INC.
February 5, 1996 - February 28, 1997
TD AMERITRADE, INC.
May 24, 1994 - January 19, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 17, 1993 - April 15, 1994
INVESTORS ASSOCIATES, INC.
March 26, 1993 - August 19, 1993
CHATFIELD DEAN & CO., 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
Series 7TO
Date: 4/13/2022
General Securities Representative ExaminationSeries 8
Date: 2/9/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SANDERS, STEVEN JAY | SENIOR VICE PRESIDENT, MARKETING AND PRODUCT DEVELOPMENT | 2812548 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 26 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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