Stephen R. Stonberg
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 Rand Stonberg was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2019 - February 21, 2020
RIALTO MARKETS LLC
November 24, 2015 - May 30, 2018
GOLDMAN SACHS & CO. LLC
May 21, 2014 - June 15, 2015
FORESIDE FUND SERVICES, LLC
January 3, 2011 - February 26, 2013
CREDIT SUISSE SECURITIES (USA) LLC
December 23, 2009 - January 5, 2011
BREVAN HOWARD US LLC
October 19, 2001 - September 8, 2006
J.P. MORGAN SECURITIES INC.
April 24, 1997 - October 19, 2001
DEUTSCHE BANK SECURITIES INC.
September 26, 1994 - November 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
RIALTO MARKETS LLC
CRD#: 283477 / SEC#: , 8-69756
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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