Steven E. Winick
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 Elliot Winick, who also goes by Steven Elliott Winick, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1997. Steven had worked at 8 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
December 1, 2009 - May 15, 2012
WALLACHBETH CAPITAL LLC
May 5, 2005 - December 1, 2009
BGC FINANCIAL, L.P.
August 5, 2004 - August 27, 2004
SANDERS MORRIS LLC
July 10, 2001 - June 19, 2003
BEECH HILL SECURITIES, INC.
May 15, 2001 - July 23, 2001
WIN CAPITAL CORP.
February 14, 2000 - September 18, 2000
SPENCER CLARKE LLC
October 22, 1998 - February 24, 2000
PACIFIC CONTINENTAL SECURITIES CORPORATION
December 19, 1997 - October 6, 1998
CROWN FINANCIAL GROUP, 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: 11/16/1999
Limited Representative-Equity Trader ExamCurrent Firm
WALLACHBETH CAPITAL LLC
CRD#: 147853 / SEC#: , 8-67936
Contact information
FINRA licenses (44 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
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.
