Steven M. Simmons
Professional summary
Steven Marc Simmons was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Steven had worked at 12 firms, which includes MCINTYRE CAPITAL PARTNERS LLC, MAXIM GROUP LLC, LIGHTHOUSE FINANCIAL GROUP LLC, TERRA NOVA FINANCIAL LLC, INTERACTIVE BROKERS CORP., SCHONFELD SECURITIES LLC, VIRTU ALTERNET SECURITIES LLC, VIRTU ITG LLC, SHARPE CAPITAL INC., DEUTSCHE IXE LLC, KNIGHT CAPITAL AMERICAS L.P., CATHAY FINANCIAL INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2012 - April 16, 2013
MCINTYRE CAPITAL PARTNERS, LLC
October 21, 2010 - January 12, 2012
MAXIM GROUP LLC
March 24, 2009 - August 9, 2010
LIGHTHOUSE FINANCIAL GROUP, LLC
September 29, 2006 - March 26, 2009
TERRA NOVA FINANCIAL, LLC
January 30, 2003 - August 10, 2006
INTERACTIVE BROKERS CORP.
June 19, 2001 - February 11, 2002
SCHONFELD SECURITIES, LLC
September 29, 2000 - April 17, 2001
VIRTU ALTERNET SECURITIES LLC
September 27, 2000 - April 11, 2001
VIRTU ITG LLC
May 18, 2000 - July 6, 2000
SHARPE CAPITAL, INC.
April 7, 1999 - February 25, 2000
DEUTSCHE IXE, LLC
July 28, 1998 - February 18, 1999
KNIGHT CAPITAL AMERICAS, L.P.
November 6, 1997 - July 14, 1998
CATHAY FINANCIAL 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
Series 55
Date: 10/15/1998
Limited Representative-Equity Trader ExamCurrent Firm
MCINTYRE CAPITAL PARTNERS, LLC
CRD#: 148521 / SEC#: , 8-68040
Contact information
FINRA licenses (16 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE MCINTYRE COMPANIES, LLC | MEMBER | |
| MCPHEDRAN, DAVID ALEXANDER | CCO, EXECUTIVE REPRESENTATIVE | 4647596 |
Red Flags
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