Stephen N. Mcconnell
Professional summary
Stephen Nicholas Mcconnell 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 1996. Prior to being barred, Stephen had worked at 3 firms, which includes HAPOALIM SECURITIES USA INC., GLEN RAUCH SECURITIES INC., GLOBAL CAPITAL MARKETS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 1999 - February 10, 2000
HAPOALIM SECURITIES USA, INC.
May 28, 1996 - June 10, 1999
GLEN RAUCH SECURITIES, INC.
January 1, 1996 - June 21, 1996
GLOBAL CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
Red Flags
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