Steven H. Rubin
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 Herbert Rubin was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 4 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2007 - December 8, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 20, 2002 - February 22, 2002
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 20, 2002 - October 28, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 20, 2002 - October 28, 2005
OSAIC FA, INC.
January 2, 1997 - July 7, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 26, 1995 - December 31, 1996
VOYA FINANCIAL ADVISORS, INC.
September 3, 1993 - December 31, 1994
VOYA FINANCIAL ADVISORS, INC.
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
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
