Steven R. Luftschein
Professional summary
Steven Robert Luftschein was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Steven had worked at 12 firms, which includes JOSEPH STONE CAPITAL L.L.C., AEGIS CAPITAL CORP., JOHN THOMAS FINANCIAL, ROCKWELL GLOBAL CAPITAL LLC, PAULSON INVESTMENT COMPANY LLC, GUNNALLEN FINANCIAL INC, MAXIM GROUP LLC, HAPOALIM SECURITIES USA INC., JOSEPHTHAL & CO. INC., J.W. BARCLAY & CO. INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2017 - May 21, 2018
JOSEPH STONE CAPITAL L.L.C.
June 6, 2013 - October 21, 2016
AEGIS CAPITAL CORP.
October 9, 2012 - June 6, 2013
JOHN THOMAS FINANCIAL
August 3, 2011 - October 23, 2012
ROCKWELL GLOBAL CAPITAL LLC
January 4, 2010 - August 3, 2011
PAULSON INVESTMENT COMPANY LLC
October 22, 2004 - January 13, 2010
GUNNALLEN FINANCIAL, INC
October 23, 2002 - November 15, 2004
MAXIM GROUP LLC
January 4, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
July 22, 1996 - January 16, 2001
JOSEPHTHAL & CO., INC.
April 3, 1996 - August 14, 1996
J.W. BARCLAY & CO., INC.
December 11, 1995 - January 18, 1996
METROPOLITAN LIFE INSURANCE COMPANY
December 11, 1995 - January 18, 1996
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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