Seaman Powers
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.
Seaman Powers, who also goes by Steve Powers, was a registered financial professional .
Seaman is a previously registered financial professional and started their career in finance in 1998. Seaman had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 1, 2000 - December 22, 2000
WIT CAPITAL CORPORATION
October 8, 1999 - January 11, 2000
DAVID LERNER ASSOCIATES, INC.
July 17, 1998 - September 21, 1999
SAMUEL A. RAMIREZ & COMPANY, 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
WIT CAPITAL CORPORATION
CRD#: 41499 / SEC#: , 8-49464
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIT SOUNDVIEW GROUP, INC. | HOLDING COMPANY | |
| CRABS, RUSSELL D | CO-PRESIDENT | 2143951 |
| FELLER, LLOYD HARRIS | CO-CHIEF LEGAL OFFICER | 3225163 |
| HOLMAN, JOHN MICHAEL | OPERATIONS OFFICER | 1858866 |
| KLEIN, ANDREW DOUGLAS | CHIEF STRATEGIST | 2583736 |
| LESSIN, ROBERT HOWARD | CHIEF EXECUTIVE OFFICER | 1367405 |
| LOEHR, MARK FREDERICK | CO-PRESIDENT | 502914 |
| MAHON, CHRISTOPHER JAMES | COMPLIANCE OFFICER | 2789024 |
| MENDELSON, ROBERT CHARLES | CO-CHIEF LEGAL OFFICER | 3225169 |
| SNYDER, CURTIS LEE JR | CHIEF FINANCIAL OFFICER/FINOP |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 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.
