Stephen R. Desiderio
Professional summary
Stephen Roy Desiderio was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Stephen had worked at 8 firms, which includes GREAT EASTERN SECURITIES INC., CARLTON CAPITAL INC., INDEPENDENT SECURITIES INVESTORS CORPORATION, NATIONAL SECURITIES CORPORATION, LEGEND SECURITIES INC., VALLEY FORGE SECURITIES INC ., HORNBLOWER & WEEKS INC., GLOBAL EQUITIES GROUP INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2006 - November 3, 2006
GREAT EASTERN SECURITIES, INC.
June 10, 2005 - March 22, 2006
CARLTON CAPITAL INC.
June 28, 2004 - May 24, 2005
INDEPENDENT SECURITIES INVESTORS CORPORATION
July 2, 2003 - July 13, 2004
NATIONAL SECURITIES CORPORATION
January 9, 2002 - August 5, 2003
LEGEND SECURITIES, INC.
March 9, 2001 - December 31, 2001
VALLEY FORGE SECURITIES, INC .
January 29, 1998 - December 18, 2000
HORNBLOWER & WEEKS, INC.
January 13, 1997 - January 6, 1998
GLOBAL EQUITIES GROUP INC
State Registrations and Notice Filings
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Exams
Current Firm
GREAT EASTERN SECURITIES, INC.
CRD#: 2061 / SEC#: , 8-16880
Contact information
Documents
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
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