Stephan J. Giamatt
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.
Stephan Joseph Giamatt was a registered financial professional .
Stephan is a previously registered financial professional and started their career in finance in 1996. Stephan had worked at 7 firms and has passed the Series 63 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
July 6, 2001 - May 21, 2002
CAPITAL GROWTH FINANCIAL, LLC
December 19, 2000 - July 31, 2001
AUERBACH, POLLAK & RICHARDSON INC.
November 19, 1999 - December 1, 1999
GKN SECURITIES CORP.
April 20, 1998 - December 19, 2000
AMERICAN FRONTEER FINANCIAL CORPORATION
March 4, 1998 - March 26, 1998
AMERICAN FRONTEER FINANCIAL CORPORATION
September 25, 1997 - April 24, 1998
THE HAMILTON-SHEA GROUP, INC.
February 24, 1997 - October 27, 1997
MERIT CAPITAL ASSOCIATES, INC.
November 11, 1996 - March 14, 1997
THE HAMILTON-SHEA GROUP, INC.
September 25, 1996 - October 19, 1996
JOSEPH ROBERTS & CO., 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
CAPITAL GROWTH FINANCIAL, LLC
CRD#: 41040 / SEC#: , 8-49268
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 8 |
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.
