Stephen N. Severio
Professional summary
Stephen Nicholas Severio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Stephen had worked at 4 firms, which includes NATIONAL SECURITIES CORPORATION, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, CITIGROUP GLOBAL MARKETS INC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2008 - January 15, 2009
NATIONAL SECURITIES CORPORATION
June 21, 2004 - September 24, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2004 - September 24, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 21, 2001 - June 28, 2004
CITIGROUP GLOBAL MARKETS INC.
December 10, 1999 - June 28, 2004
CITIGROUP GLOBAL MARKETS INC.
August 30, 1995 - December 13, 1999
PRUDENTIAL EQUITY GROUP, 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
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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