Steven F. Bogaczyk
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 Fred Bogaczyk, who also goes by Steve Bogaczyk, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 3 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 24, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2004 - April 1, 2009
IRONSTONE SECURITIES, INC.
April 16, 1998 - July 19, 2024
FIRST CITIZENS INVESTOR SERVICES, INC.
June 22, 1994 - June 29, 1998
UVEST FINANCIAL SERVICES GROUP, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
IRONSTONE SECURITIES, INC.
CRD#: 130335 / SEC#: , 8-66333
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST CITIZENS BANK & TRUST COMPANY | 100% OWNER | |
| BLACK, KENNETH ALEXANDER | DIRECTOR | 2989066 |
| BOGACZYK, STEVEN FRED | CFO, DIRECTOR | 2469749 |
| CREEKMAN, JAMES ERVIN | DIRECTOR | 2989069 |
| HOLDING, FRANK BROWN JR | DIRECTOR | 2989068 |
| JONES, HIRAM RAMSEY II | PRESIDENT | 1876061 |
| LOWMAN, LAWRENCE MINETREE | DIRECTOR OF COMPLIANCE; CHIEF COMPLIANCE OFFICER | 1642166 |
| YOCHEM, CAROL BLADE | DIRECTOR | 1254414 |
Red Flags
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