Stephen M. Bohm
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 Michael Bohm, who also goes by Stephen Michael Bohm, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 6 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
June 12, 2019 - April 3, 2025
CLEARPOOL EXECUTION SERVICES, LLC
May 20, 2008 - February 6, 2009
LAVAFLOW, INC.
June 29, 2005 - July 29, 2008
LAVA TRADING, INC.
November 14, 2002 - January 18, 2005
SUSQUEHANNA FINANCIAL GROUP, LLLP
November 14, 2002 - January 18, 2005
SAL EQUITY TRADING, GP
October 15, 1999 - June 26, 2002
DEUTSCHE IXE, LLC
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: 11/23/1999
Limited Representative-Equity Trader ExamCurrent Firm
CLEARPOOL EXECUTION SERVICES, LLC
CRD#: 168490 / SEC#: , 8-69313
Contact information
FINRA licenses (26 States and Territories)
Documents
Disclosures
| Regulatory Event | 19 |
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.
