Steven A. Busto

PHX FINANCIAL

Hauppauge, NY 11788

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CRD#: 2522780

Professional summary

Steven Anthony Busto is a registered financial professional currently at PHX FINANCIAL, INC. located in Hauppauge, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Anthony Busto's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 2, 2015 - Present

PHX FINANCIAL, INC.

Office #1: 150 Motor Parkway Suite 309, Hauppauge, NY 11788

CRD#: 144403

Hauppauge, NY

Past

July 28, 2015 - December 9, 2015

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SMITHTOWN, NY

Past

March 5, 2015 - December 9, 2015

OSAIC WEALTH, INC.

CRD#: 23131

SMITHTOWN, NY

Past

November 30, 2012 - April 20, 2015

FIRST MIDWEST SECURITIES, INC.

RIA

CRD#: 21786

SMITHTOWN, NY

Past

October 18, 2007 - April 20, 2015

FIRST MIDWEST SECURITIES, INC.

CRD#: 21786

SMITHTOWN, NY

Past

May 23, 2007 - October 22, 2007

EMMETT A LARKIN COMPANY, INC.

CRD#: 6625

SMITHTOWN, NY

Past

June 20, 2005 - May 22, 2007

ITRADEDIRECT.COM CORP

CRD#: 18281

HAUPPAUGE, NY

Past

April 30, 2002 - June 15, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

September 24, 1998 - May 20, 2002

SEABOARD SECURITIES, INC.

CRD#: 755

FLORHAM PARK, NJ

Past

August 15, 1994 - October 9, 1998

LADENBURG CAPITAL MANAGEMENT INC.

CRD#: 14623

BETHPAGE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(5/11/2020)

Arkansas
(2/24/2016)

California
(12/2/2015)

Colorado
(12/2/2015)

Connecticut
(12/3/2015)

Florida
(12/2/2015)

Georgia
(12/2/2015)

Hawaii
(1/8/2016)

Illinois
(12/3/2015)

Indiana
(12/10/2015)

Iowa
(12/2/2015)

Kansas
(12/2/2015)

Maine
(12/2/2015)

Massachusetts
(1/21/2016)

Minnesota
(12/17/2015)

Mississippi
(5/10/2016)

Missouri
(1/25/2016)

Nevada
(10/5/2023)

New Hampshire
(12/2/2015)

New Jersey
(12/2/2015)

New York
(12/2/2015)

North Carolina
(12/2/2015)

Ohio
(12/2/2015)

Oklahoma
(5/12/2020)

Pennsylvania
(12/2/2015)

Texas
(12/2/2015)

Virginia
(12/2/2015)

Washington
(12/2/2015)

Wisconsin
(12/2/2015)

Wyoming
(12/2/2015)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/2012

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/21/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 11/1/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/10/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PHX FINANCIAL, INC.

BLACKWALL CAPITAL MARKETS, INC. | PHX FINANCIAL, INC. | PHOENIX FINANCIAL SERVICES | GRANDVIEW CAPITAL, INC.

CRD#: 144403 / SEC#: , 8-67653

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

100 Wall Street Floor 10, New York, NY 10005

Mailing Address

100 Wall Street Floor 10, New York, NY 10005

Phone number

(212) 776-4187

Established

Florida since 12/27/2006

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PHOENIX FINANCIAL CONSOLIDATED HOLDINGS, LP	PARENT OF BROKER DEALER
CHEN, KEVIN	CEO	4871316
GILMAN, ROBERT CRAIG	FINOP - PFO	1738412
MONTANA, JOSEPH RYAN	ROSFP, MSRB PRINCIPAL	5640919
OTOYA, DANIEL ORLANDO	CHIEF COMPLIANCE OFFICER	2208241

Disclosures

Regulatory Event	4
Arbitration	2

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.

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Advisor Monitoring

Firm Stability Insights

Steven A. Busto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Anthony Busto's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

FIRST MIDWEST SECURITIES, INC.

FIRST MIDWEST SECURITIES, INC.

EMMETT A LARKIN COMPANY, INC.

ITRADEDIRECT.COM CORP

GUNNALLEN FINANCIAL, INC

SEABOARD SECURITIES, INC.

LADENBURG CAPITAL MANAGEMENT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2012

Series 65

Date: 10/21/2002

Series 63

Date: 8/22/1994

SIE

Date: 10/1/2018

Series 7

Date: 8/13/1994

Series 4

Date: 11/1/2001

Series 24

Date: 11/10/1997

FINRA

Current Firm

PHX FINANCIAL, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

PHX FINANCIAL, INC.

TRUST BUT VERIFY

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