Stephen J. Langan
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 John Langan, who also goes by Stephen J Langan, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 8 firms and has passed the Series 63, SIE, Series 55 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
November 20, 2015 - April 27, 2018
UPHOLD SECURITIES INC.
March 15, 2013 - June 3, 2015
CCM SECURITIES, LLC
April 7, 2006 - November 9, 2012
ROCHDALE SECURITIES LLC
August 30, 2005 - May 1, 2006
LEEB BROKERAGE SERVICES, INC.
March 15, 2004 - June 21, 2005
LABRANCHE & CO. LLC
August 20, 2001 - March 9, 2004
GOLDMAN SACHS & CO. LLC
December 4, 2000 - July 13, 2001
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
April 28, 1999 - November 6, 2000
DONALD & CO. SECURITIES 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: 1/22/2001
Limited Representative-Equity Trader ExamCurrent Firm
UPHOLD SECURITIES INC.
CRD#: 34071 / SEC#: , 8-46202
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UPHOLD, INC. | PARENT | |
| SNYDER, CURTIS LEE JR | PRESIDENT & COO/CFO/CCO | 1885111 |
Disclosures
| Regulatory Event | 1 |
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.
