Stephen J. Bologna
Professional summary
Stephen John Bologna is a registered financial professional currently at CELADON FINANCIAL GROUP LLC located in Staten Island, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1995. Stephen has worked at 9 firms and has passed the Series 63, Series 57TO, Series 3, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen John Bologna's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 20, 2012 - Present
CELADON FINANCIAL GROUP LLC
May 3, 2011 - January 12, 2012
T3 TRADING GROUP, LLC
April 20, 2009 - July 16, 2010
LAMPERT CAPITAL MARKETS INC.
February 28, 2003 - December 17, 2008
GRANTA CAPITAL GROUP LLC
July 15, 1998 - February 24, 2003
THE THORNWATER COMPANY, L.P.
February 7, 1997 - June 16, 1998
GKN SECURITIES CORP.
April 13, 1995 - January 17, 1997
LT LAWRENCE & CO., INC.
January 17, 1995 - April 4, 1995
FIRST ASSET MANAGEMENT, INC.
January 3, 1995 - January 30, 1995
BERKELEY SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/31/2019)
(6/25/2021)
(1/20/2012)
(1/20/2012)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/17/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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