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Steven J Decicco

CRD# 3240084·Registered 1999 - 2010
Previously Registered: Being a previously registered professional could mean that Steven 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.

Professional Summary

Steven J Decicco was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1999 - 2010. Steven had worked at 6 firms and has passed the Series 27 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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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Years of Experience

27 years in the financial services industry

Current & Past Employments

TAMARACK DISTRIBUTORS INC.·CRD# 11181
BD
Minneapolis, MN
July 21, 2008 - June 3, 2010
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
February 29, 2008 - May 8, 2018
RBC CMA LTD·CRD# 121263
BD
New York, NY
February 5, 2007 - September 20, 2012
RBC CAPITAL MARKETS CORPORATION·CRD# 6579
BD
New York, NY
September 20, 2006 - February 29, 2008
SG AMERICAS SECURITIES, LLC·CRD# 128351
BD
New York, NY
April 23, 2004 - September 13, 2006
COWEN AND COMPANY·CRD# 7616
BD
New York, NY
August 20, 1999 - April 26, 2004

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Current Firm

TD
TAMARACK DISTRIBUTORS INC.

JONES & BABSON, INC. | TAMARACK DISTRIBUTORS INC.

CRD#: 11181 / SEC#: 8-7802
BD
Terminated by SEC on 07/26/2010

Contact Information

Established

Missouri since 02/23/1959

Firm Type

Corporation

Fiscal Year End

October

Documents

Direct owners and executive officers

NamePositionCRD#
RBC CAPITAL MARKETS HOLDINGS (USA) INC.DIRECT OWNER—
DE FEYTER, JODI ANNCCO4382316
DECICCO, STEVEN JCFO, FIN OP & TREASURER3240084
LEW, BRANDON DANIELVICE PRESIDENT, DIRECTOR5047196
PREUS, ERIK ROBERTCEO, DIRECTOR, PRESIDENT2404788
ZIMMER, MARY ELLENDIRECTOR2455924

Disclosures

Regulatory Event

1

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 27 — Financial and Operations Principal Examination

Passed Aug 1999About the Series 27 exam

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CRS (Client Relationship Summary)

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

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