Steven R. Cantalupo
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 R Cantalupo, who also goes by Stephen R Cantalopo, Stephen R Cantalupo, Stephen Cantalupo, Steve Cantalupo, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 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
January 2, 2014 - April 4, 2016
FIS BROKERAGE & SECURITIES SERVICES LLC
January 23, 2012 - December 31, 2012
FIS BROKERAGE & SECURITIES SERVICES LLC
August 19, 2008 - December 31, 2013
SUNGARD INSTITUTIONAL BROKERAGE INC.
June 19, 2001 - May 9, 2008
SUNGARD INSTITUTIONAL BROKERAGE INC.
June 3, 1999 - May 2, 2001
OSAIC WEALTH, INC.
October 5, 1998 - May 19, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
May 16, 1995 - July 15, 1998
CITISTREET EQUITIES 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
Exams
Current Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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