Steven Laden
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 Laden was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1970. Steven had worked at 6 firms and has passed the Series 63, Series 15, Series 5, PC, Series 1, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 1991 - March 22, 2000
PERSHING LLC
February 20, 1990 - December 21, 1991
SCHRODER & CO. INC.
May 26, 1989 - March 10, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 6, 1977 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 6, 1976 - January 6, 1977
DREXEL BURNHAM & CO. INCORPORATED
April 17, 1970 - February 6, 1976
DREXEL BURNHAM & CO. INCORPORATED
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 15
Date: 7/6/1984
Foreign Currency Options ExaminationSeries 5
Date: 3/11/1983
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 11/11/1966
Registered Representative ExaminationSeries 40
Date: 6/25/1973
Registered Principal ExaminationSeries 12
Date: 5/14/1973
NYSE Branch Manager ExaminationCurrent Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
