Stephen A. Mlady
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 Anton Mlady, who also goes by Steve Mlady, Steven Mlady, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1996. Stephen had worked at 17 firms and has passed the Series 63, Series 55, Series 7 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
September 12, 2011 - February 13, 2012
LEGEND SECURITIES, INC.
September 4, 2009 - November 23, 2009
CALDWELL INTERNATIONAL SECURITIES
October 23, 2008 - January 15, 2009
MARTINEZ-AYME SECURITIES
September 5, 2008 - October 24, 2008
BASIC INVESTORS INC.
March 21, 2008 - September 5, 2008
CALDWELL INTERNATIONAL SECURITIES
January 14, 2008 - March 6, 2008
JHS CAPITAL ADVISORS, LLC
January 11, 2007 - November 5, 2007
ORION TRADING, LLC
April 11, 2006 - January 16, 2007
GREAT EASTERN SECURITIES, INC.
January 13, 2006 - April 11, 2006
E1 ASSET MANAGEMENT, INC.
March 3, 2003 - July 12, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
January 2, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
June 14, 2001 - January 30, 2002
WORLDCO, L.L.C.
October 3, 2000 - May 3, 2001
RUMSON CAPITAL, LLC
October 20, 1999 - September 25, 2000
J.P.R. CAPITAL CORP.
November 25, 1998 - September 28, 1999
TAYLOR STUART FINANCIAL, INC.
November 11, 1997 - November 13, 1998
SEABOARD SECURITIES, INC.
June 6, 1997 - September 29, 1997
ASH FINANCIAL CORP.
April 21, 1997 - June 6, 1997
H.J. MEYERS & CO., INC.
December 20, 1996 - April 18, 1997
INVESTORS ASSOCIATES, 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: 8/15/2000
Limited Representative-Equity Trader ExamCurrent Firm
LEGEND SECURITIES, INC.
CRD#: 44952 / SEC#: , 8-50886
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
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.
