Steven J. Sanders
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 Jay Sanders was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1996. Steven had worked at 4 firms and has passed the Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 55, Series 3, Series 7, Series 27, Series 10, Series 9, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2008 - January 20, 2026
INTERACTIVE BROKERS CORP.
March 8, 2001 - January 20, 2026
INTERACTIVE BROKERS LLC
December 18, 1998 - March 16, 2001
CITIGROUP GLOBAL MARKETS INC.
November 21, 1996 - December 18, 1998
CITICORP SECURITIES, 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
What does exam status mean?
Series 52TO
Passed: 6/18/2025
Municipal Securities Representative ExaminationSeries 57TO
Passed: 1/2/2023
Securities Trader ExamSeries 99TO
Passed: 1/2/2023
Operations Professional ExaminationSeries 10
Passed: 7/8/2001
Series 9
Passed: 6/2/2001
Current Firm
INTERACTIVE BROKERS CORP.
CRD#: 117942 / SEC#: , 8-53615
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
