Steven M. Kessler
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 Michael Kessler, who also goes by Steven M Kessler, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1968. Steven had worked at 9 firms and has passed the Series 63, Series 55, 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
April 24, 2012 - October 10, 2012
W.A. CAPITAL MARKETS
September 8, 2011 - April 24, 2012
MAXIM GROUP LLC
May 27, 2011 - September 9, 2011
RODMAN & RENSHAW, LLC
October 11, 2005 - May 27, 2011
HUDSON SECURITIES,INC.
April 1, 2004 - July 1, 2005
FULCRUM GLOBAL PARTNERS LLC
October 1, 2002 - April 14, 2004
BROKERAGEAMERICA, LLC
July 31, 2001 - May 15, 2002
KNIGHT CAPITAL AMERICAS, L.P.
November 26, 1990 - June 6, 2001
UBS CAPITAL MARKETS L.P.
December 2, 1968 - September 28, 1990
DEUTSCHE IXE, LLC
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 55
Date: 12/4/1999
Limited Representative-Equity Trader ExamSeries 1
Date: 11/22/1968
Registered Representative ExaminationCurrent Firm
W.A. CAPITAL MARKETS
CRD#: 6292 / SEC#: , 8-16871
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MURPHY, RICHARD JAMES | REGISTERED OPTIONS PRINCIPAL (SROP) | 1016183 |
| MURPHY, RICHARD JAMES | GENERAL PARTNER | 1016183 |
| GEM NEW YORK, LLC | GENERAL PARTNER | |
| MILLAR, DOUGLAS MACARTHUR | CHIEF COMPLIANCE OFFICER | 1631198 |
| MURPHY, GLORIA E | LIMITED PARTNER | 3150528 |
| PETRI, RICHARD THOMAS | FINANCIAL & OPERATIONS PRINCIPAL | 3039438 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 2 |
Red Flags
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