Steven A. Williams
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 Allen Williams was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 14 firms and has passed the Series 63, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2013 - August 23, 2013
DLB SECURITIES L.L.C.
January 23, 2012 - October 12, 2012
ROSENBLATT SECURITIES INC.
May 12, 2011 - September 19, 2011
G-2 TRADING,LLC
July 22, 2010 - May 11, 2011
LOUIS CAPITAL MARKETS, LLC
April 5, 2010 - July 12, 2010
RAFFERTY CAPITAL MARKETS, LLC
September 25, 2009 - January 19, 2010
SRT SECURITIES LLC
May 21, 2008 - June 23, 2009
RAMIUS SECURITIES LLC
October 11, 2007 - May 14, 2008
OPPENHEIMER & CO. INC.
November 7, 2005 - November 20, 2006
MOG CAPITAL L.L.C.
April 15, 2005 - October 3, 2005
GERONIMO LLC
May 24, 2004 - March 31, 2005
TORO TRADING LLC
October 30, 2003 - January 22, 2004
CONSOLIDATED TRADING LLC
October 24, 2003 - March 25, 2004
CONSOLIDATED TRADING LLC
June 20, 1997 - December 17, 1998
OPPENHEIMER & CO. INC.
November 11, 1996 - July 1, 1997
WINDSOR STREET CAPITAL, LP
September 14, 1995 - November 5, 1996
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
DLB SECURITIES L.L.C.
CRD#: 129354 / SEC#: , 8-66215
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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