Stephen J. Kandel
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.
Stephen Joseph Kandel was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1965. Stephen had worked at 5 firms and has passed the Series 5, Series 000, Series 1, Series 4, Series 27 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 1979 - October 13, 1994
ZA ASSOCIATES, INC.
July 11, 1974 - February 19, 1979
JSC SECURITIES, INC.
January 11, 1974 - August 24, 1974
W. E. HUTTON & CO.
February 10, 1965 - January 21, 1974
NEWBURGER, LOEB & CO., INC.
February 8, 1965 - October 3, 1987
SWERGOLD, CHEFITZ & INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 000
Date: 2/8/1965
General Securities Principal ExaminationSeries 1
Date: 2/8/1965
Registered Representative ExaminationSeries 40
Date: 10/26/1978
Registered Principal ExaminationCurrent Firm
ZA ASSOCIATES, INC.
CRD#: 7850 / SEC#: , 8-23323
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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