Stephan L. Kaye
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.
Stephan Lawrence Kaye, who also goes by Steve Kaye, was a registered financial professional .
Stephan is a previously registered financial professional and started their career in finance in 1970. Stephan had worked at 21 firms and has passed the Series 63, Series 1 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
September 4, 2009 - May 7, 2012
CAPNET SECURITIES CORPORATION
January 16, 2009 - September 4, 2009
TRI-STAR FINANCIAL
November 10, 2008 - January 26, 2009
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
June 2, 2003 - January 26, 2009
CAPNET SECURITIES CORPORATION
September 18, 2001 - December 18, 2001
INSTITUTIONAL CAPITAL MANAGEMENT, INC.
December 7, 1999 - September 19, 2001
MULTI-BANK SECURITIES, INC.
October 8, 1999 - November 19, 1999
OROSEY & PEPE CAPITAL MARKETS, INC.
September 25, 1998 - March 17, 1999
OROSEY & PEPE CAPITAL MARKETS, INC.
August 11, 1997 - August 19, 1998
HOTOVEC, POMERANZ & CO., LLC
February 13, 1997 - July 22, 1997
DOLEY SECURITIES, LLC.
October 24, 1995 - January 17, 1997
MEYERS POLLOCK ROBBINS, INC.
June 7, 1995 - October 24, 1995
LOP CAPITAL MARKETS, INC.
October 20, 1994 - October 10, 1995
LEHWALD, OROSEY & PEPE INCORPORATED
April 7, 1994 - September 29, 1994
M.G.S.I. SECURITIES, INC.
June 20, 1990 - September 29, 1994
M.G.S.I. SECURITIES, INC.
November 29, 1988 - June 26, 1990
MARCUS, STOWELL & BEYE, INC.
November 29, 1988 - June 26, 1990
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
August 3, 1988 - November 25, 1988
SCHAEFER SECURITIES, INC.
July 25, 1987 - June 26, 1990
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
July 6, 1984 - July 16, 1988
MARCUS, STOWELL & BEYE, INC.
January 24, 1984 - July 5, 1984
UNITED CAPITAL CORPORATION
November 27, 1979 - June 26, 1990
MARCUS, STOWELL & BEYE, INC.
April 10, 1979 - May 25, 1979
E.S.M. SECURITIES, INC.
October 10, 1978 - April 5, 1979
UMIC, INC.
July 7, 1978 - November 13, 1978
BEVILL, BRESLER & SCHULMAN INCORPORATED
December 20, 1977 - February 7, 1978
UMIC, INC.
November 30, 1976 - July 10, 1978
WESTCAP SECURITIES, L.P.
July 23, 1975 - April 21, 1976
HIBBARD & O'CONNOR SECURITIES, INC.
June 23, 1970 - August 19, 1975
W. E. HUTTON & CO.
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
Series 1
Date: 6/18/1970
Registered Representative ExaminationCurrent Firm
CAPNET SECURITIES CORPORATION
CRD#: 23669 / SEC#: , 8-40635
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
