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SC

Steven R. Carini

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CRD#: 2462579
SC

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 Richard Carini was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 11 firms and has passed the Series 63 and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 8, 2002 - April 29, 2002

HARRISON SECURITIES, INC.

BD
CRD#: 14103
PORT WASHINGTON, NY
Past

May 15, 2001 - November 1, 2001

JESUP & LAMONT SECURITIES CORP

BD
CRD#: 39056
NEW YORK, NY
Past

February 21, 2001 - May 17, 2001

VALLEY FORGE SECURITIES, INC .

BD
CRD#: 20892
ROSEMONT, PA
Past

November 27, 2000 - January 17, 2001

MASON HILL & CO., INC.

BD
CRD#: 38308
NEW YORK, NY
Past

August 16, 2000 - October 27, 2000

SHARPE CAPITAL, INC.

BD
CRD#: 18452
NEW YORK, NY
Past

June 3, 1999 - July 27, 2000

STOCKTON EQUITIES GROUP

BD
CRD#: 18262
SAN DIEGO, CA
Past

May 4, 1998 - December 18, 1998

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

September 18, 1997 - February 10, 1998

PRESTON LANGLEY ASSET MANAGEMENT, INC.

BD
CRD#: 35733
NEW YORK, NY
Past

May 7, 1997 - September 16, 1997

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, NY
Past

April 9, 1997 - May 9, 1997

FIRST CAMBRIDGE SECURITIES CORPORATION

BD
CRD#: 21846
NEW YORK, NY
Past

January 29, 1997 - April 11, 1997

FIRST UNITED EQUITIES CORPORATION

BD
CRD#: 36398
NEW YORK, NY
Past

February 13, 1995 - December 23, 1996

LADENBURG CAPITAL MANAGEMENT INC.

BD
CRD#: 14623
BETHPAGE, 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

State Security Law Exam
RR
Series 63
Date: 2/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/1995
General Securities Representative Examination

Current Firm

HS
HARRISON SECURITIES, INC.
D.L. SPRINGATE SECURITIES | SPRINGATE, DANIEL LAMONT | HARRISON SECURITIES, INC.

CRD#: 14103 / SEC#: , 8-30546

BD
Cancelled by SEC on 07/15/2005
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 04/27/2000
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BLUMER, FREDERICK CLARKCEO, PRESIDENT, EXEC. REP., GSP1574325
FLORIO, PHILIPFINOP2377440
LEVENTHAL, RAYMOND ALANVICEP PRESIDENT, EXEC.REP.,GSP,ROP,CROP,SROP,MSRB PRIN., COMPLAINCE OFFICER3120615

Disclosures

Regulatory Event8
Arbitration4

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

HARRISON SECURITIES, INC.

CRD#: 14103

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