Steven Madsen
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 Madsen, who also goes by Steven E Madsen, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, 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
March 1, 2021 - October 27, 2023
IMPERIAL CAPITAL, LLC
May 16, 2017 - March 13, 2020
JANNEY MONTGOMERY SCOTT LLC
October 1, 2013 - August 24, 2015
CIBC WORLD MARKETS CORP.
January 4, 2012 - March 12, 2013
LOOP CAPITAL MARKETS LLC
September 7, 2011 - December 5, 2011
MF GLOBAL INC.
March 16, 2010 - August 15, 2011
SG AMERICAS SECURITIES, LLC
October 5, 2009 - February 10, 2010
STORMHARBOUR SECURITIES LP
May 13, 2009 - July 16, 2009
BARCLAYS CAPITAL INC.
September 18, 2002 - July 24, 2007
BARCLAYS CAPITAL INC.
June 7, 1999 - September 16, 2002
DEUTSCHE BANK SECURITIES INC.
July 12, 1996 - June 7, 1999
DB ALEX. BROWN LLC
November 21, 1994 - July 9, 1996
LEHMAN BROTHERS 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 8/14/2006
Limited Representative-Equity Trader ExamCurrent Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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