Stephen D. Carcaterra
Professional summary
Stephen Daniel Carcaterra 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 professional and started their career in finance in 1995. Prior to being barred, Stephen had worked at 3 firms, which includes J.P. TURNER & COMPANY L.L.C., ARGENT SECURITIES INC., LCP CAPITAL CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 1997 - September 24, 1998
J.P. TURNER & COMPANY, L.L.C.
May 29, 1997 - August 12, 1997
ARGENT SECURITIES, INC.
December 7, 1995 - May 22, 1997
LCP CAPITAL CORP.
State Registrations and Notice Filings
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Exams
Current Firm
J.P. TURNER & COMPANY, L.L.C.
CRD#: 43177 / SEC#: , 8-50156
Contact information
Documents
Disclosures
| Regulatory Event | 30 |
| Arbitration | 12 |
Red Flags
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