Steven D. Bocan
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 Daniel Bocan, who also goes by Steve Bocan, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 8 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 14, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2014 - April 5, 2024
ETC BROKERAGE SERVICES, LLC
September 3, 2013 - September 29, 2014
CETERA WEALTH SERVICES, LLC
September 3, 2013 - September 29, 2014
CETERA WEALTH SERVICES, LLC
July 3, 2012 - September 3, 2013
WALNUT STREET SECURITIES, INC.
May 15, 2012 - September 3, 2013
WALNUT STREET SECURITIES, INC.
September 28, 2010 - December 20, 2011
PNC WEALTH MANAGEMENT LLC
September 28, 2010 - December 20, 2011
PNC WEALTH MANAGEMENT LLC
September 1, 2009 - September 14, 2010
EQUITABLE ADVISORS, LLC
August 26, 2009 - September 14, 2010
EQUITABLE ADVISORS, LLC
January 12, 2006 - February 19, 2008
KEY INVESTMENT SERVICES LLC
January 10, 2006 - February 19, 2008
KEY INVESTMENT SERVICES LLC
August 3, 2004 - January 4, 2006
KEYBANC CAPITAL MARKETS INC.
May 1, 2001 - January 4, 2006
KEYBANC CAPITAL MARKETS INC.
July 8, 1996 - April 10, 2001
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 8/6/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ETC BROKERAGE SERVICES, LLC
CRD#: 145276 / SEC#: , 8-67719
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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