Stephen J. Gurney
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 Joseph Gurney, who also goes by Steve Gurney, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 6 firms and has passed the Series 63, Series 79TO, Series 99TO, 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
April 13, 2006 - September 25, 2023
VIANT CAPITAL LLC
September 1, 2005 - February 28, 2006
GROTON SECURITIES LLC
December 12, 2003 - July 20, 2005
VIANT CAPITAL LLC
April 11, 2002 - June 4, 2002
SEVEN HILLS PARTNERS LLC
October 12, 2001 - March 27, 2002
COWEN PRIME SERVICES TRADING LLC
July 19, 2001 - October 19, 2001
VIANT CAPITAL LLC
April 30, 2001 - May 29, 2001
ABN AMRO INCORPORATED
September 3, 1999 - April 30, 2001
ABN AMRO SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
VIANT CAPITAL LLC
CRD#: 46948 / SEC#: , 8-51602
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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