Stephen A. Velgot

Some features on this profile are disabled

CRD#: 2726666

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.

Stephen Andrew Velgot was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1996. Stephen had worked at 10 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 3, 2014 - June 22, 2015

RENAISSANCE MACRO SECURITIES, LLC

CRD#: 163927

NEW YORK, NY

Past

November 26, 2012 - August 21, 2014

TP ICAP GLOBAL MARKETS AMERICAS LLC

CRD#: 2762

JERSEY CITY, NJ

Past

November 9, 2007 - January 26, 2012

SUSQUEHANNA FINANCIAL GROUP, LLLP

CRD#: 35865

NEW YORK, NY

Past

August 6, 2003 - October 15, 2007

CATHAY FINANCIAL INC

CRD#: 30065

NEW YORK, NY

Past

May 7, 2003 - August 7, 2003

COWEN SECURITIES LLC

CRD#: 23510

NEW YORK, NY

Past

February 26, 2001 - June 12, 2001

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

December 10, 1999 - November 3, 2000

TEJAS SECURITIES GROUP, INC.

CRD#: 36705

AUSTIN, TX

Past

September 29, 1998 - November 12, 1999

DEMATTEO RESEARCH LLC

CRD#: 43741

NEW YORK, NY

Past

August 10, 1998 - September 1, 1998

DEMATTEO RESEARCH LLC

CRD#: 43741

Past

July 17, 1997 - August 4, 1998

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

June 5, 1996 - July 21, 1997

MONNESS CRESPI HARDT & CO., INC.

CRD#: 7424

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 6/12/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/22/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 12/29/2004

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 12/28/2004

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 6/4/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/19/2004

General Securities Principal Examination

Current Firm

RENAISSANCE MACRO SECURITIES, LLC

CRD#: 163927 / SEC#: , 8-69079

Broker-Dealer Firm Regulated by FINRA (Boston district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9 Old King's Highway S 3rd Fl, Darien, CT 06820

Mailing Address

9 Old King's Highway S 3rd Fl, Darien, CT 06820

Phone number

(212) 537-8811

Established

Delaware since 07/26/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RENAISSANCE MACRO HOLDINGS, LLC	MEMBER
DEGRAAF, JEFFREY SCOTT	EXECUTIVE MANAGING DIRECTOR	2202699
DEGRAAF, JEFFREY SCOTT	CHIEF COMPLIANCE OFFICER	2202699
DUTTENHOFER, STEPHEN MATTHEW	GENERAL SECURITIES PRINCIPAL	2517485
VEGA, DOREEN LEMA	FINOP/ PFO /POO	5364084

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen A. Velgot

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TP ICAP GLOBAL MARKETS AMERICAS LLC

SUSQUEHANNA FINANCIAL GROUP, LLLP

CATHAY FINANCIAL INC

COWEN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

TEJAS SECURITIES GROUP, INC.

DEMATTEO RESEARCH LLC

DEMATTEO RESEARCH LLC

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

MONNESS CRESPI HARDT & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/12/1996

SIE

Date: 6/22/2015

Series 87

Date: 12/29/2004

Series 86

Date: 12/28/2004

Series 7

Date: 6/4/1996

Series 24

Date: 8/19/2004

Current Firm

RENAISSANCE MACRO SECURITIES, LLC

Contact information

FINRA licenses (11 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

RENAISSANCE MACRO SECURITIES, LLC

TRUST BUT VERIFY

Similar Advisors