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Steven Alvin Owsley

CRD# 2715942·Registered 1996 - 1998
Barred: Steven Alvin Owsley was barred by the FINRA and is not permitted to conduct business in the covered capacity.

Professional Summary

Steven Alvin Owsley, who also goes by Steve Owsley, was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1996 - 1998. Steven had worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Steve Owsley

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

30 years in the financial services industry

Current & Past Employments

GO TRADING, INC.·CRD# 41355
BD
Los Angeles, CA
January 24, 1997 - October 1, 1998
LANDMARK SECURITIES CORPORATION·CRD# 39506
BD
Houston, TX
November 6, 1996 - May 21, 1997
FM PACIFIC CAPITAL MANAGEMENT, INC.·CRD# 23343
BD
City Of Industry, CA
July 2, 1996 - February 25, 1997
BLOCK TRADING INC.·CRD# 36666
BD
Houston, TX
April 2, 1996 - May 21, 1996

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Current Firm

GT
GO TRADING, INC.

GO TRADING, INC.

CRD#: 41355 / SEC#: 8-49383
BD
Cancelled by SEC on 06/20/2001

Contact Information

Established

Texas since 09/26/1996

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1996About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Apr 1996About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 1996About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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