Steven A. Hurwitz
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 Allen Hurwitz was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2010 - October 18, 2013
COHEN & COMPANY SECURITIES, LLC
March 4, 1998 - June 30, 1998
LEHMAN BROTHERS INC.
August 21, 1995 - November 3, 1997
WELLS FARGO CLEARING SERVICES, LLC
October 11, 1994 - July 7, 1995
ABN AMRO SECURITIES LLC
October 8, 1993 - June 7, 1994
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COHEN & COMPANY SECURITIES, LLC
CRD#: 149758 / SEC#: , 8-68186
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 6 |
Red Flags
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