Stephen E. Sokoloff
Professional summary
Stephen Elliot Sokoloff was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Stephen had worked at 4 firms, which includes THE AGEAN GROUP INC, JOSEPH STEVENS & CO. INC., MEYERS POLLOCK ROBBINS INC., A.S. GOLDMEN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 22, 1999 - July 19, 1999
THE AGEAN GROUP, INC
February 10, 1999 - March 31, 1999
JOSEPH STEVENS & CO., INC.
April 28, 1997 - December 11, 1998
JOSEPH STEVENS & CO., INC.
May 7, 1996 - April 21, 1997
MEYERS POLLOCK ROBBINS, INC.
September 29, 1993 - June 4, 1996
A.S. GOLDMEN & CO., INC.
June 9, 1993 - June 18, 1993
A.S. GOLDMEN & CO., INC.
State Registrations and Notice Filings
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Exams
Series 62
Date: 6/8/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
THE AGEAN GROUP, INC
CRD#: 30835 / SEC#: , 8-45192
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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