Steven L. Sormani
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 Louis Sormani, who also goes by Steven L Sormani, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1997. Steven had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2018 - September 6, 2022
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
March 1, 2004 - November 4, 2013
DAVID LERNER ASSOCIATES, INC.
April 15, 2003 - January 29, 2004
R. J. THOMPSON SECURITIES, INC.
October 6, 1997 - February 17, 2004
TD AMERITRADE, INC.
February 18, 1997 - August 11, 1997
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AIG GLOBAL CAPITAL MARKETS SECURITIES, LLC
CRD#: 157767 / SEC#: , 8-68860
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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