Steven J. Levine
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 J Levine, who also goes by Steve Levine, Steven Levine, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 4 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
May 14, 2015 - May 20, 2016
GAINES FINANCIAL GROUP
April 29, 2015 - May 31, 2016
LPL FINANCIAL LLC
April 15, 2004 - May 1, 2015
NEXT FINANCIAL GROUP, INC.
February 21, 2002 - May 1, 2015
NEXT FINANCIAL GROUP, INC.
July 9, 1999 - February 27, 2002
OSAIC WEALTH, INC.
January 4, 1996 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 4, 1996 - November 22, 1999
SIGNATOR INVESTORS, INC.
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
GAINES FINANCIAL GROUP
CRD#: 157037 / SEC#: 801-77140
Contact information
Regulatory assets under management
| Total Number of Accounts | 464 |
| AUM (Assets Under Management) | $ 522,564,185 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
