Stephen I. Back
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 Ira Back, CFA was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 5 firms and has passed the Series 63, Series 7TO, Series 3, SIE, Series 7, Series 14 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
September 13, 2016 - January 3, 2022
OWL CREEK ASSET MANAGEMENT MARKETING, LLC
April 30, 2010 - March 3, 2011
DIFFUSION MARKETS, L.L.C.
June 7, 2001 - January 18, 2006
D. E. SHAW INVESTMENTS, L.P.
June 7, 2001 - March 3, 2011
D.E. SHAW SECURITIES, L.L.C.
November 22, 2000 - September 17, 2007
D. E. SHAW VALENCE, L.L.C.
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 7TO
Date: 3/19/2024
General Securities Representative ExaminationCurrent Firm
OWL CREEK ASSET MANAGEMENT MARKETING, LLC
CRD#: 38008 / SEC#: , 8-48028
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
