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SS

Steven J. Saggese

LPS CAPITAL LLC
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 3101001
SS

Professional summary

Steven Joseph Saggese is a registered financial professional currently at LPS CAPITAL LLC located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Steven Joseph Saggese's CRS (Customer Relationship Summary).

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

Current

November 15, 2018 - Present

LPS CAPITAL LLC

Office #1: 600 Lexington Avenue Suite 502, New York, NY 10022
BD
CRD#: 155246
NEW YORK, NY
Past

October 8, 2014 - September 20, 2018

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

September 4, 2007 - October 10, 2014

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
JERSEY CITY, NJ
Past

January 24, 2001 - September 5, 2007

TULLETT PREBON FINANCIAL SERVICES LLC

BD
CRD#: 28196
NEW YORK, NY
Past

April 23, 1999 - January 31, 2001

TP ICAP GLOBAL MARKETS AMERICAS LLC

BD
CRD#: 2762
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(11/15/2018)
RR
Massachusetts
(10/5/2020)
RR
New Jersey
(11/15/2018)
RR
New York
(11/15/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 3/15/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/20/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

LC
LPS CAPITAL LLC
DISCOUNT MUNICIPAL BOND CORP. | TORREY PINES WEALTH MANAGEMENT, INC. | LPS PARTNERS INC. | LPS CAPITAL LLC

CRD#: 155246 / SEC#: , 8-68706

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
600 Lexington Avenue Suite 502, New York, NY 10022
Mailing Address
600 Lexinggton Avenue Suite 502, New York, NY 10022
Phone number
(212) 441-3810
Established
California since 05/18/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
LPS PARTNERS LLCOWNER
MEENAN, MICHAEL JSUPERVISING PRINCIPAL5368683
TARLETON, JOHN WILLIAMPRESIDENT, CCO, FINOP1631047

Disclosures

Regulatory Event1

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.

Company Information

LPS CAPITAL LLC

CRD#: 155246New York, NY 10022

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