Steven J. Finkel
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 Jay Finkel was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1998. Steven had worked at 4 firms and has passed the Series 65, 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
January 25, 2016 - December 31, 2017
STEVE FINKEL CAPITAL MANAGEMENT, LLC
August 15, 2011 - December 31, 2015
STEVE FINKEL CAPITAL MANAGEMENT, LLC
July 1, 2003 - February 10, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - February 10, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 22, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
September 12, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
March 27, 1998 - September 20, 2000
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
STEVE FINKEL CAPITAL MANAGEMENT, LLC
CRD#: 157896 / SEC#:
Contact information
Red Flags
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