Steve J. Cherris
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.
Steve Joseph Cherris was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1997. Steve had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 62 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
August 5, 2005 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
July 1, 2005 - August 5, 2005
TOWER SQUARE SECURITIES, INC.
February 10, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 10, 2005 - September 5, 2013
WALNUT STREET SECURITIES, INC.
February 10, 2005 - October 20, 2014
NEW ENGLAND SECURITIES
February 10, 2005 - October 20, 2014
MSI FINANCIAL SERVICES, INC.
March 16, 2004 - February 1, 2005
CHASE INVESTMENT SERVICES CORP.
June 30, 2001 - September 25, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
August 7, 2000 - June 30, 2001
ICAPITAL MARKETS LLC
April 21, 1998 - July 22, 1998
CHATFIELD DEAN & CO., INC.
November 19, 1997 - March 17, 1998
TARPON SCURRY INVESTMENTS, 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
Series 55
Date: 1/13/2006
Limited Representative-Equity Trader ExamSeries 62
Date: 11/18/1997
Corporate Securities Limited Representative ExaminationCurrent Firm
TOWER SQUARE SECURITIES, INC.
CRD#: 833 / SEC#: 801-50585, 8-13752
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLAZA LLC | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
| Bond | 2 |
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.
