Steven M. Gerstel
Professional summary
Steven Michael Gerstel is a registered financial advisor currently at TRUIST SECURITIES, INC. located in Richmond, Virginia.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 12 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 7, Series 6, Series 53, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Michael Gerstel's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2023 - Present
TRUIST SECURITIES, INC.
Office #1: 1001 Semmes Ave Fl 3 & 4, Richmond, VA 23224September 3, 2008 - March 28, 2023
TD SECURITIES (USA) LLC
September 19, 2007 - August 19, 2008
THE CONCORD EQUITY GROUP, LLC
September 6, 2006 - September 5, 2007
FIRST MONTAUK SECURITIES CORP.
October 29, 2004 - September 5, 2007
FIRST MONTAUK SECURITIES CORP.
June 28, 2004 - December 17, 2004
LH ROSS & COMPANY, INC.
November 25, 2003 - June 29, 2004
FIRST MONTAUK SECURITIES CORP.
April 15, 2002 - April 17, 2002
GUNNALLEN FINANCIAL, INC
October 18, 2001 - June 29, 2004
FIRST MONTAUK SECURITIES CORP.
February 1, 2001 - October 5, 2001
CANTONE RESEARCH INC.
September 21, 1998 - January 26, 2001
J.W. BARCLAY & CO., INC.
March 25, 1997 - September 16, 1998
CANTONE RESEARCH INC.
April 1, 1996 - August 21, 1996
MONITOR INVESTMENT GROUP, INC.
March 28, 1996 - April 9, 1996
THE THORNWATER COMPANY, L.P.
March 27, 1995 - April 4, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 27, 1995 - April 4, 1996
EQUITABLE ADVISORS, 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
(4/17/2023)
Exams
Series 52TO
Date: 4/17/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 3/13/2000
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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Company Information
TRUIST SECURITIES, INC.
CRD#: 6271Richmond, VA 23224TRUST BUT VERIFY
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