Stephen R. Sleigh
Professional summary
Stephen Robert Sleigh is a registered financial professional currently at PEAKSTONE SECURITIES, LLC located in Chicago, Illinois.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Robert Sleigh's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 2, 2012 - Present
PEAKSTONE SECURITIES, LLC
Office #1: 550 West Van Buren Street Suite 1460, Chicago, IL 60607September 22, 2008 - June 11, 2009
BARCLAYS CAPITAL INC.
May 3, 1999 - September 22, 2008
LEHMAN BROTHERS INC.
October 1, 1998 - March 31, 1999
BANC OF AMERICA SECURITIES LLC
October 18, 1994 - October 1, 1998
BANCAMERICA SECURITIES, 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
(7/31/2018)
(11/8/2022)
(3/12/2021)
(2/5/2021)
(3/7/2012)
(1/22/2021)
(2/14/2017)
(8/29/2013)
(6/10/2025)
(7/16/2021)
(5/2/2025)
(7/18/2016)
(9/30/2020)
(5/17/2018)
(6/10/2025)
(8/21/2013)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
PEAKSTONE SECURITIES, LLC
CRD#: 157146 / SEC#: , 8-68835
Contact information
FINRA licenses (16 States and Territories)
Red Flags
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