Steven M. Bazis
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 Bazis, who also goes by Steve Bazis, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 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 10, 2017 - October 17, 2017
INSTITUTIONAL SECURITIES CORPORATION
October 5, 2016 - December 27, 2016
PRINCIPAL SECURITIES, INC.
August 5, 2016 - December 27, 2016
PRINCIPAL SECURITIES, INC.
May 17, 2002 - July 3, 2012
INSTITUTIONAL SECURITIES CORPORATION
June 15, 1999 - December 6, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
May 19, 1998 - June 8, 1999
FIDELITY BROKERAGE SERVICES LLC
February 19, 1998 - April 27, 1998
CHARLES SCHWAB & CO., INC.
January 20, 1996 - May 9, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INSTITUTIONAL SECURITIES CORPORATION
CRD#: 20291 / SEC#: 801-36967, 8-38158
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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