Stephen G. O'grady
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.
Stephen Gilman O'grady, who also goes by Stephen G Ogrady, Stephen Gilman Ogrady, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2003. Stephen had worked at 5 firms and has passed the Series 55, Series 7, Series 53 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
February 17, 2011 - December 22, 2011
GFI SECURITIES LLC
June 5, 2009 - January 3, 2011
KELLOGG CAPITAL MARKETS, LLC
February 3, 2005 - September 6, 2007
RAYMOND JAMES & ASSOCIATES, INC.
April 2, 2004 - November 28, 2008
KELLOGG CAPITAL GROUP LLC
September 26, 2003 - April 7, 2004
ABN AMRO INCORPORATED
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 55
Date: 9/1/2009
Limited Representative-Equity Trader ExamCurrent Firm
GFI SECURITIES LLC
CRD#: 19982 / SEC#: , 8-43548
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFINET INC. | SOLE MEMBER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | PRINCIPAL | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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