Stephen M. Liotta
Professional summary
Stephen Michael Liotta was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen Michael Liotta was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 10 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2009 - October 19, 2009
JOHN THOMAS FINANCIAL
May 18, 2007 - July 30, 2009
AMERICA'S CHOICE EQUITIES LLC
October 20, 2006 - June 15, 2007
ITRADEDIRECT.COM CORP
October 10, 2006 - October 24, 2006
PHD CAPITAL
March 13, 2006 - October 5, 2006
PGP FINANCIAL, INC.
March 29, 2005 - March 10, 2006
GUNNALLEN FINANCIAL, INC
October 27, 2003 - March 29, 2005
THINKEQUITY LLC
July 10, 2002 - October 28, 2003
CARDINAL CAPITAL MANAGEMENT, INC.
September 26, 2001 - June 28, 2002
LH ROSS & COMPANY, INC.
November 1, 1999 - October 5, 2001
SEABOARD SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
JOHN THOMAS FINANCIAL
CRD#: 40982 / SEC#: , 8-49254
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CASTELLANO, JOSEPH LOUIS | CHIEF COMPLIANCE OFFICER | 1158479 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 18 |
Red Flags
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