Stephen L. Sexeny
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 Leo Sexeny was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 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
September 17, 2019 - August 12, 2024
DESTRA CAPITAL INVESTMENTS LLC
January 6, 2015 - September 18, 2017
FORESIDE FUND SERVICES, LLC
May 9, 2006 - October 27, 2014
NYLIFE DISTRIBUTORS LLC
December 13, 2005 - April 28, 2006
MELLON FUNDS DISTRIBUTOR, L.P.
March 22, 2005 - December 31, 2005
MBSC, LLC
February 14, 1994 - April 19, 1996
BOSTON GLOBAL 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
DESTRA CAPITAL INVESTMENTS LLC
CRD#: 148299 / SEC#: , 8-68006
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
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.
