Stephen E. Lichaw
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 Edward Lichaw, who also goes by Stephen E. Lichaw, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 14 firms and has passed the Series 63, SIE 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
May 28, 2020 - December 6, 2024
MSC - BD, LLC
January 11, 2019 - August 10, 2019
MSC - BD, LLC
June 29, 2017 - November 13, 2017
US CAPITAL GLOBAL SECURITIES, LLC
July 30, 2015 - August 14, 2015
H.C.WAINWRIGHT & CO., LLC
April 16, 2015 - August 3, 2015
NETWORK 1 FINANCIAL SECURITIES INC.
September 17, 2013 - February 9, 2015
AEGIS CAPITAL CORP.
February 28, 2011 - March 11, 2013
MIDDLEBURY SECURITIES LLC
July 7, 2010 - December 10, 2010
NETWORK 1 FINANCIAL SECURITIES INC.
April 17, 2007 - June 9, 2009
RODMAN & RENSHAW, LLC
October 7, 2005 - January 31, 2007
H.C.WAINWRIGHT & CO., LLC
August 20, 2004 - April 18, 2005
MAXIM GROUP LLC
February 9, 2000 - July 25, 2003
LADENBURG THALMANN & CO. INC.
August 23, 1999 - February 11, 2000
RUMSON CAPITAL, LLC
October 8, 1998 - September 9, 1999
TRADE.COM ONLINE SECURITIES, INC.
October 29, 1997 - September 18, 1998
AUGMENT SECURITIES INC.
February 20, 1997 - November 20, 1997
GRUNTAL & CO., L.L.C.
December 13, 1993 - February 26, 1997
D. H. BLAIR & CO., 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
MSC - BD, LLC
CRD#: 142927 / SEC#: , 8-67511
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
