Steven B. Slomnicki

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CRD#: 3088503

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 Brian Slomnicki was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 12 firms and has passed the Series 66, Series 63, Series 7, Series 23, Series 9, Series 10 and Series 14 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 23, 2012 - April 24, 2012

MCCAFFERTY & COMPANY, LLC

CRD#: 147259

NEW YORK, NY

Past

November 3, 2010 - June 10, 2011

GLOBAL ARENA CAPITAL CORP

CRD#: 16871

MELVILLE, NY

Past

December 7, 2009 - November 2, 2010

PRESTIGE FINANCIAL CENTER, INC.

CRD#: 30407

NEW YORK, NY

Past

January 29, 2008 - August 18, 2008

QUATTRO M SECURITIES INC.

CRD#: 39289

NEW YORK, NY

Past

February 1, 2006 - November 29, 2007

THE GRISWOLD COMPANY, INCORPORATED

CRD#: 32944

NEW YORK, NY

Past

October 25, 2005 - January 18, 2006

L4 PARTNERS, LLC

CRD#: 134919

NEW YORK, NY

Past

August 11, 2004 - February 1, 2006

TD PRIME SERVICES LLC

CRD#: 1914

NEW YORK, NY

Past

September 29, 2003 - October 21, 2004

LEK SECURITIES CORPORATION

CRD#: 33135

NEW YORK, NY

Past

April 30, 2002 - January 18, 2006

LL PARTNERS, INC.

CRD#: 32189

NEW YORK, NY

Past

March 26, 2002 - October 1, 2003

LABRANCHE FINANCIAL SERVICES, LLC

CRD#: 7432

NEW YORK, NY

Past

December 6, 1999 - April 19, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 4, 1999 - December 10, 1999

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/6/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/2/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 23

Date: 9/7/2006

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 9

Date: 12/18/2003

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/26/2002

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 14

Date: 4/24/2002

Compliance Officer Examination

Current Firm

MCCAFFERTY & COMPANY, LLC

CRD#: 147259 / SEC#: , 8-67890

Terminated by SEC on 09/11/2020

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Contact information

Main Address

Mailing Address

Phone number

Established

California since 04/13/2006

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
MCCAFFERTY, COLIN MICHAEL	MANAGING PARTNER, CCO	4431448
THORNTON, STEVEN LEE	FINOP	4496384

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.

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Advisor Monitoring

Firm Stability Insights

Steven B. Slomnicki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GLOBAL ARENA CAPITAL CORP

PRESTIGE FINANCIAL CENTER, INC.

QUATTRO M SECURITIES INC.

THE GRISWOLD COMPANY, INCORPORATED

L4 PARTNERS, LLC

TD PRIME SERVICES LLC

LEK SECURITIES CORPORATION

LL PARTNERS, INC.

LABRANCHE FINANCIAL SERVICES, LLC

UBS FINANCIAL SERVICES INC.

GRUNTAL & CO., L.L.C.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/6/2000

Series 63

Date: 2/15/1999

Series 7

Date: 2/2/1999

Series 23

Date: 9/7/2006

Series 9

Date: 12/18/2003

Series 10

Date: 9/26/2002

Series 14

Date: 4/24/2002

Current Firm

MCCAFFERTY & COMPANY, LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

MCCAFFERTY & COMPANY, LLC

TRUST BUT VERIFY

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