Stephen F. Finkel
Professional summary
Stephen Franklin Finkel, who also goes by Stephen Finkel, is a registered financial professional currently at LAZARD FRERES & CO. LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Franklin Finkel's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2025 - Present
LAZARD FRERES & CO. LLC
Office #1: 30 Rockefeller Plaza, New York, NY 10020-5900February 28, 2017 - January 14, 2025
GUGGENHEIM SECURITIES, LLC
June 26, 2007 - February 28, 2017
ROTHSCHILD & CO US INC.
December 23, 1998 - June 1, 2007
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/8/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
LAZARD FRERES & CO. LLC
CRD#: 2528 / SEC#: , 8-2595
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
| Civil Event | 2 |
Red Flags
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