Stephen D. Elliott
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 David Elliott was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 10 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
November 3, 2025 - April 30, 2026
ENCLAVE CAPITAL LLC
February 29, 2016 - September 20, 2024
ROBERT W. BAIRD & CO. INCORPORATED
September 9, 2014 - November 30, 2015
CANACCORD GENUITY LLC
July 1, 2013 - September 4, 2014
CANTOR FITZGERALD & CO.
July 8, 2011 - June 7, 2013
CITIGROUP GLOBAL MARKETS INC.
November 12, 2008 - July 17, 2009
CREDIT AGRICOLE SECURITIES (USA) INC.
February 21, 2001 - March 29, 2007
LEHMAN BROTHERS INC.
October 16, 2000 - November 13, 2000
CREDIT SUISSE SECURITIES (USA) LLC
August 25, 1998 - October 16, 2000
PERSHING LLC
June 28, 1994 - July 17, 1998
GOLDMAN SACHS & CO. LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ENCLAVE CAPITAL LLC
CRD#: 22732 / SEC#: , 8-39592
Contact information
FINRA licenses (18 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
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.
