Stephen L. Scotto
Professional summary
Stephen Louis Scotto is a registered financial professional currently at BGC FINANCIAL, L.P. located in Palm Beach Gardens, Florida and FMX EXECUTION, LLC located in Palm Beach Gardens, Florida.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 10 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Louis Scotto's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2011 - Present
BGC FINANCIAL, L.P.
Office #1: 300 Avenue Of Champions Suite 110, Palm Beach Gardens, FL 33418June 21, 2023 - Present
FMX EXECUTION, LLC
Office #1: 300 Avenue Of Champions Suite 175, Palm Beach Gardens, FL 33418September 20, 2023 - Present
GFI SECURITIES LLC
Office #1: 55 Water Street 10th Floor, New York, NY 10041May 4, 2021 - May 13, 2021
FMX EXECUTION, LLC
April 30, 2021 - May 13, 2021
GFI SECURITIES LLC
January 12, 2021 - January 12, 2021
GFI SECURITIES LLC
January 12, 2021 - January 12, 2021
FMX EXECUTION, LLC
April 29, 2009 - August 10, 2011
STANDARD CREDIT SECURITIES INC.
September 4, 2007 - March 30, 2009
ICE BONDS SECURITIES CORPORATION
January 7, 2003 - August 22, 2007
TULLETT PREBON FINANCIAL SERVICES LLC
March 28, 2000 - January 15, 2003
HSBC SECURITIES (USA) INC.
March 9, 1999 - April 6, 2000
PERSHING LLC
February 26, 1998 - September 3, 1998
CITICORP SECURITIES, INC.
November 23, 1994 - February 19, 1998
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/29/2020)
(9/20/2023)
(4/20/2018)
(7/20/2021)
(1/20/2022)
(9/2/2011)
(1/29/2021)
(6/16/2020)
(6/7/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BZX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
GFI SECURITIES LLC
CRD#: 19982 / SEC#: , 8-43548
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GFINET INC. | SOLE MEMBER | |
| ABULARRAGE, JOHN JOSEPH | CHIEF EXECUTIVE OFFICER | 3265633 |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| LEWIS, THOMAS JOSEPH | PRINCIPAL | 2684821 |
| LYNCH, MARTIN | CHIEF OPERATING OFFICER | 5612726 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
Disclosures
| Regulatory Event | 30 |
Red Flags
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