Stephen A. Friscia
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 Anthony Friscia JR, who also goes by Stephen Anthony Friscia, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 7 firms and has passed the Series 63, SIE and Series 7 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, 2010 - January 13, 2016
IAM CAPITAL CORPORATION
September 17, 2008 - December 14, 2009
NYLIFE DISTRIBUTORS LLC
August 3, 2006 - August 5, 2008
J.P. MORGAN SECURITIES LLC
January 6, 2004 - January 6, 2006
LEVCO SECURITIES, INC.
June 23, 2003 - January 2, 2004
PALISADE CAPITAL SECURITIES, L.L.C.
October 13, 2000 - June 30, 2003
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
November 17, 1995 - October 2, 2000
LIEBER & COMPANY
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
Current Firm
IAM CAPITAL CORPORATION
CRD#: 45034 / SEC#: , 8-50930
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IRIDIAN ASSET MANAGEMENT LLC | SHAREHOLDER | |
| RAKER, TODD DUNKIN | CCO AND CEO | 2651603 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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