Steven C. Barkoff
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 Cory Barkoff 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 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
April 23, 1997 - May 20, 1997
MILLENNIUM SECURITIES CORP.
March 25, 1996 - November 20, 1996
STRATTON OAKMONT INC.
February 23, 1996 - April 11, 1996
FIRST ASSET MANAGEMENT, INC.
February 2, 1996 - March 20, 1996
MONITOR INVESTMENT GROUP, INC.
November 16, 1995 - January 19, 1996
BILTMORE SECURITIES, INC.
August 18, 1995 - December 6, 1995
WINDSOR REYNOLDS SECURITIES, INC.
February 28, 1994 - July 26, 1995
STRATTON OAKMONT 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
MILLENNIUM SECURITIES CORP.
CRD#: 31695 / SEC#: , 8-45519
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
