Steven R. Shambora
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 Raymond Shambora, who also goes by Steven Raymong Shambora, Steven Raymond Shaubora, Steven Raymond Shaumbora, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31 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
July 22, 2013 - March 29, 2016
PURSHE KAPLAN STERLING INVESTMENTS
January 11, 2013 - April 3, 2019
ATHENA ADVISOR SERVICES, LLC
January 4, 2005 - August 20, 2013
LPL FINANCIAL LLC
January 4, 2005 - August 20, 2013
LPL FINANCIAL LLC
November 9, 2000 - December 1, 2004
LORD, ABBETT & CO. LLC
January 13, 1999 - December 1, 2004
LORD ABBETT DISTRIBUTOR LLC
August 5, 1994 - January 6, 1999
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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