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SZ

Stephen P. Zak

XTELLUS CAPITAL PARTNERS
New York, NY 10022
Some features on this profile are disabled
CRD#: 2423424
SZ

Professional summary

Stephen Peter Zak is a registered financial professional currently at XTELLUS CAPITAL PARTNERS, INC. located in New York, New York and TICKRS CLEARING located in Irvine, California.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1999. Stephen has worked at 13 firms and has passed the Series 99TO, SIE, Series 7, Series 14, Series 24 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Peter Zak's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 13, 2011 - Present

XTELLUS CAPITAL PARTNERS, INC.

Office #1: 535 Madison Ave. 5th Floor, New York, NY, 10022Office #2: 535 Madison Ave. 5th Floor, New York, NY, 10022
BD
CRD#: 156048
New York, NY
Current

February 7, 2023 - Present

TICKRS CLEARING

Office #1: 100 Spectrum Center Drive, Suite 750, Irvine, CA 92618
BD
CRD#: 312531
Irvine, CA
Current

May 4, 2023 - Present

JIKO SECURITIES INC.

Office #1: 135 Main Street Suite 1320, San Francisco, CA 94105
BD
CRD#: 287507
SAN FRANCISCO, CA
Current

July 16, 2024 - Present

CURVATURE SECURITIES LLC

Office #1: 39 Main Street, Chatham, NJ 07928
BD
CRD#: 169708
Chatham, NJ
Current

January 24, 2025 - Present

USMART (USA)

Office #1: 477 Madison Avenue 6th Fl Suite 631-635c, New York, NY, 10022Office #2: 477 Madison Avenue 6th Fl Suite 631-635c, New York, NY, 10022
BD
CRD#: 329365
NEW YORK, NY
Past

September 13, 2024 - October 28, 2024

CARTA CAPITAL MARKETS, LLC

BD
CRD#: 304751
NEW YORK, NY
Past

June 17, 2024 - November 1, 2024

R.J. O'BRIEN SECURITIES, LLC

BD
CRD#: 143624
New York, NY
Past

October 6, 2021 - July 18, 2024

M1 FINANCE LLC

BD
CRD#: 281242
CHICAGO, IL
Past

March 4, 2021 - October 30, 2023

CARTA SECURITIES, LLC

BD
CRD#: 282086
SAN FRANCISCO, CA
Past

March 1, 2021 - March 31, 2023

JIKO SECURITIES INC.

BD
CRD#: 287507
SAN FRANCISCO, CA
Past

October 15, 2020 - March 31, 2021

VELOX CLEARING LLC

BD
CRD#: 290215
MIAMI, FL
Past

May 29, 2007 - September 19, 2011

COWEN AND COMPANY

BD
CRD#: 7616
NEW YORK, NY
Past

July 12, 2005 - May 30, 2007

LEERINK PARTNERS LLC

BD
CRD#: 39011
NEW YORK, NY
Past

June 28, 1999 - July 19, 2005

CANACCORD GENUITY LLC

BD
CRD#: 1020
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/23/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/9/1999
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

U(
USMART (USA)
USMART (USA) | USMART CAPITAL, LLC

CRD#: 329365 / SEC#: , 8-71200

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
477 Madison Avenue 6th Fl Suite 631-635c, New York, NY, 10022
Mailing Address
477 Madison Avenue 6th Fl Suite 631-635c, New York, NY, 10022
Phone number
(646) 673-8611
Established
New York since 11/10/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
USMART INLET INVESTMENT LTDOWNER
LU, YICOO5837061
SLONE, JONATHANCEO2150608
VIGLIAROLO, JOSEPH CHARLESCCO, INVESTMENT BANKING PRINCIPAL4880434
ZAK, STEPHEN PETERFINOP2423424

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.

Company Information

USMART (USA)

CRD#: 329365New York, NY 10022

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