Steven R. Conti

VANDERBILT SECURITIES

Mahopac, NY

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CRD#: 2361851

Professional summary

Steven Robert Conti is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Mahopac, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1993. Steven has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: BOOKKEEPING ; START DATE: 01/2017 ; POSITION/TITLE/RELATIONSHIP: BOOKKEEPER ; APX NUMBER OF HOURS PER WEEK: 2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 2 ; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING AND BOOKKEEPING SERVICES WITH SOME TAX ANALYSIS AND PREPARATION 2. EMPLOYED AS ACCT.FOR TOWN OF POUND RIDGE; FIN. MANAGER; START DATE: ?; PREPARE BUDGET, MANAGE BOOKS; 35 HR WORK WEEK; NO PARTNERSHIP;

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Robert Conti's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 21, 2023 - Present

VANDERBILT SECURITIES, LLC

CRD#: 5953

Mahopac, NY

Past

April 12, 2021 - November 16, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

WHITE PLAINS, NY

Past

October 24, 2005 - November 16, 2022

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

WHITE PLAINS, NY

Past

January 28, 2003 - October 24, 2005

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

February 24, 1998 - December 31, 2002

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

July 29, 1993 - December 31, 1997

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(6/21/2023)

Connecticut
(6/21/2023)

Florida
(6/21/2023)

New Jersey
(6/21/2023)

New York
(6/21/2023)

North Carolina
(6/21/2023)

Exams

State Security Law Exam

Series 63

Date: 7/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/28/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

RICHARDT-ALYN & CO. | VANDERBILT SECURITIES, LLC | VANDERBILT SECURITIES

CRD#: 5953 / SEC#: , 8-16712

Broker-Dealer Firm Regulated by FINRA (Long Island district office)

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Contact information

Main Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Mailing Address

125 Froehlich Farm Blvd., Woodbury, NY 11797

Phone number

(631) 845-5100

Established

New York since 12/05/2001

Firm type

Limited Liability Company

Fiscal year end

September

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VANDERBILT CAPITAL, LLC	SOLE OWNER
ANTENOR, JR, DANIEL	CHIEF OPERATIONS OFFICER/OPTIONS/MUNI	5839052
DISTANTE, STEPHEN ALFRED	CEO - LIMITED PARTNER	2206574
PLAPP, MEGAN LYNN	FINOP, POO, PFO, CFO	6790596
THOMAS, MICHELLE DENISE	CHIEF COMPLIANCE OFFICER	2210435
TRIFILETTI, JOSEPH JOHN	PRESIDENT	5295897

Disclosures

Regulatory Event	5
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.

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Firm Stability Insights

Steven R. Conti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Robert Conti's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

CETERA FINANCIAL SPECIALISTS LLC

C. J. M. PLANNING CORP.

C. J. M. PLANNING CORP.

WADDELL & REED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/28/1993

SIE

Date: 10/1/2018

Series 6

Date: 7/28/1993

FINRA

Current Firm

VANDERBILT SECURITIES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VANDERBILT SECURITIES, LLC

TRUST BUT VERIFY

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