Stephen V. Rawn
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 Vernon Rawn, who also goes by Stephen Vernon Rawn Mr., was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 3 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
December 22, 2000 - August 28, 2012
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
September 21, 1998 - January 26, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 1998 - September 18, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 17, 1994 - November 10, 1998
MIDLAND WALWYN CAPITAL CORPORATION
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
MACQUARIE CAPITAL MARKETS NORTH AMERICA LTD.
CRD#: 38108 / SEC#: , 8-48233
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE CAPITAL MARKETS CANADA LTD. (FORMERLY ORION SECURITIES INC.) | SHAREHOLDER (PARENT COMPANY) | |
| ALTARAS, ANDRE YEHUDA | CHIEF OPERATING OFFICER (12/2015) | 5625662 |
| CONAHAN, JAMES S | CFO/FINOP | 2538695 |
| CRISTALL, DANIEL JOHN | DIRECTOR | 6254685 |
| DOYLE, JAMES DAVID TATE | DIRECTOR | 7151466 |
| HEBERT-SEYNETT, CHARLES | SUPERVISORY PRINCIPAL | 6620102 |
| ROZIER, STEPHANE | DIRECTOR | 7198309 |
| WONG, AUGUSTINE MING | CHIEF COMPLIANCE OFFICER | 4682800 |
Disclosures
| Regulatory Event | 7 |
Red Flags
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