Steven D. Frankowitz
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 David Frankowitz, who also goes by Steven D Frankowitz, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, 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 19, 2018 - June 6, 2019
DALMORE GROUP LLC
November 18, 2014 - March 29, 2016
CHARDAN CAPITAL MARKETS LLC
April 5, 2013 - October 23, 2013
CASIMIR CAPITAL L.P.
February 23, 2009 - January 15, 2013
DALMORE GROUP LLC
January 4, 2006 - March 20, 2009
CASIMIR CAPITAL L.P.
May 24, 2005 - January 3, 2006
WESTMINSTER SECURITIES CORPORATION
September 5, 2000 - August 8, 2003
SCHONFELD SECURITIES, LLC
May 22, 1996 - March 5, 1999
SCHONFELD SECURITIES, LLC
June 21, 1995 - May 7, 1996
MORGAN STANLEY DW INC.
February 14, 1995 - June 26, 1995
UBS FINANCIAL SERVICES 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 55
Date: 10/3/2000
Limited Representative-Equity Trader ExamCurrent Firm
DALMORE GROUP LLC
CRD#: 136352 / SEC#: , 8-67002
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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