Steven John Gaston
Professional Summary
Steven John Gaston, who also goes by Steven J Gaston, is a registered financial advisor currently at OLD MISSION MARKETS LLC located in Chicago, Illinois and OLD MISSION CAPITAL, LLC located in Chicago, Illinois. Steven is registered as a RR (Registered Representative) and started their career in finance in 1998. Steven has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, Series 52TO, Series 57TO, Series 62, SIE, Series 55,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Steven J Gaston
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
OLD MISSION CAPITAL, LLC
Contact Information
Main Address
1 N. Dearborn St. 8th Floor, Chicago, IL 60602Mailing Address
1 N. Dearborn St. 8th Floor, Chicago, IL 60602Phone Number
(312) 235-5371Established
Illinois since 03/19/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(5/28/2020)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 62 — Corporate Securities Limited Representative Examination
Passed Jan 2023Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2007Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Oct 1998About the Series 6 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Steven John Gaston's CRS (Customer Relationship Summary).
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