Stephen E. Forman
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 Elliot Forman, who also goes by Stephen E Forman, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 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
March 6, 2015 - March 31, 2022
ROSENBAUM FINANCIAL
June 30, 2006 - June 13, 2016
AMERITAS INVESTMENT COMPANY, LLC
June 30, 2006 - June 13, 2016
AMERITAS INVESTMENT COMPANY, LLC
November 13, 2001 - June 30, 2006
CARILLON INVESTMENTS, INC.
October 17, 2001 - June 30, 2006
CARILLON INVESTMENTS, INC.
May 14, 1999 - October 4, 2001
KEYBANC CAPITAL MARKETS INC.
March 4, 1997 - May 14, 1999
KEY INVESTMENTS INC.
August 19, 1996 - March 11, 1997
WELLS FARGO SECURITIES INC.
September 22, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
September 18, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
July 20, 1994 - June 30, 1995
MORGAN STANLEY DW 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
Current Firm
ROSENBAUM FINANCIAL
CRD#: 173805 / SEC#: 801-80682
Contact information
Regulatory assets under management
| Total Number of Accounts | 254 |
| AUM (Assets Under Management) | $ 418,524,553 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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