Stephen F. Rossi
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 Francis Rossi, who also goes by Stephen F Rossi, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1997. Stephen had worked at 6 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2010 - January 9, 2017
DIFFUSION MARKETS, L.L.C.
August 19, 2008 - January 9, 2017
D.E. SHAW SECURITIES, L.L.C.
January 3, 2005 - March 26, 2008
LEHMAN BROTHERS INC.
November 22, 2000 - February 23, 2001
GFN.COM SECURITIES, INC.
November 23, 1999 - December 14, 2004
SGI, LLC
March 12, 1997 - July 26, 1999
REFCO SECURITIES, LLC
January 16, 1997 - February 18, 1997
LEHMAN BROTHERS 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
Current Firm
DIFFUSION MARKETS, L.L.C.
CRD#: 151235 / SEC#: , 8-68350
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
