Stephen J. Kalish
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 Joel Kalish was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2009. Stephen had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2009 - May 8, 2017
SCHOTTENFELD GROUP LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SCHOTTENFELD GROUP LLC
CRD#: 128103 / SEC#: , 8-66088
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER, CEO | 1280443 |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| RISI, SALVATORE ANTHONY | CHIEF FINANCIAL OFFICER/FINOP | 1072513 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
Disclosures
| Regulatory Event | 1 |
| Civil Event | 2 |
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.
