Steven Umlauf
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 Umlauf, who also goes by Steven Richard Umlauf, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 5 firms and has passed the Series 63, Series 7 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
March 28, 2012 - May 20, 2013
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
February 27, 2008 - August 25, 2011
MORGAN STANLEY & CO. LLC
January 18, 2007 - April 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 24, 2004 - April 9, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 13, 2000 - April 2, 2004
CITIGROUP GLOBAL MARKETS INC.
July 26, 2000 - November 1, 2000
PERSHING LLC
June 13, 1995 - July 11, 2000
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
CRD#: 157767 / SEC#: , 8-68860
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
