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SS

Steven D. Spence

TERRANOVA CAPITAL EQUITIES,
New York, NY 10170
Some features on this profile are disabled
CRD#: 2667444
SS

Professional summary

Steven David Spence, who also goes by Steven Spence, is a registered financial professional currently at TERRANOVA CAPITAL EQUITIES, INC located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2010. Steven has worked at 7 firms and has passed the Series 66, SIE, Series 79, Series 7, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Spence

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven David Spence's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 4, 2019 - Present

TERRANOVA CAPITAL EQUITIES, INC

Office #1: 420 Lexington Avenue Suite 1402, New York, NY 10170
BD
CRD#: 45097
New York, NY
Past

July 24, 2018 - November 1, 2019

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

July 29, 2016 - June 25, 2018

BMI CAPITAL INTERNATIONAL LLC

BD
CRD#: 154670
New York, NY
Past

October 3, 2014 - August 27, 2018

DOMINICK & DICKERMAN LLC

BD
CRD#: 7344
NEW YORK, NY
Past

June 28, 2013 - November 3, 2014

COVA CAPITAL PARTNERS LLC

BD
CRD#: 109761
SYOSSET, NY
Past

May 16, 2012 - July 17, 2013

FURTHER LANE SECURITIES, L.P.

BD
CRD#: 38162
NEW YORK, NY
Past

September 13, 2010 - May 16, 2012

MORGAN STANLEY

RIA
CRD#: 149777
NEW YORK, NY
Past

August 19, 2010 - May 16, 2012

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(11/4/2019)
RR
California
(11/4/2019)
RR
Connecticut
(11/4/2019)
RR
District of Columbia
(11/4/2019)
RR
Illinois
(11/4/2019)
RR
Maryland
(11/4/2019)
RR
Massachusetts
(11/4/2019)
RR
Michigan
(11/4/2019)
RR
New York
(11/4/2019)
RR
Pennsylvania
(11/4/2019)
RR
Texas
(11/4/2019)
RR
Virginia
(11/4/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/10/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 4/29/2016
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/2010
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/7/1997
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/16/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TC
TERRANOVA CAPITAL EQUITIES, INC
EUROPEAN AMERICAN EQUITIES, INC. | TN CAPITAL EQUITIES, LTD | TERRANOVA CAPITAL EQUITIES, INC. | TERRANOVA CAPITAL EQUITIES, INC | HORNBLOWER CAPITAL SECURITIES, INC. | GROWVEST CAPITAL SECURITIES, INC. | EUROPEAN AMERICAN EQUITIES, LTD.

CRD#: 45097 / SEC#: , 8-50973

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Phone number
(212) 381-7391
Established
Delaware since 03/18/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TERRANOVA CAPITAL PARTNERS, INC.SHAREHOLDER
CERNY, CRAIG JONATHANCHIEF EXECUTIVE OFFICER1538404
GELB, PETER RICHARDCOO/CFO2542816
GOODE, JACQUELINE MARIECCO1292607
MATTERA, RICHARD JOSEPHFINANCIAL OPERATIONS OFFICER2246513
STEINMETZ, JOHN FRANCISCHAIRMAN & PRESIDENT1132822

Disclosures

Regulatory Event4

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.

Company Information

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097New York, NY 10170

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