Steven J. Owens
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.
Steven John Owens was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2000. Steven had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2016 - April 26, 2017
OPPENHEIMER & CO. INC.
June 20, 2016 - April 26, 2017
OPPENHEIMER & CO. INC.
February 6, 2015 - June 20, 2016
HERBERT J. SIMS CAPITAL MANAGEMENT, INC.
February 4, 2015 - June 20, 2016
HERBERT J. SIMS & CO, INC.
November 19, 2010 - September 24, 2014
COMERICA SECURITIES
October 14, 2010 - September 24, 2014
COMERICA SECURITIES
April 28, 2008 - October 12, 2010
MORGAN KEEGAN & COMPANY, LLC
April 23, 2008 - October 12, 2010
MORGAN KEEGAN & COMPANY, LLC
December 11, 2006 - March 22, 2007
IFMG SECURITIES, INC.
December 8, 2006 - March 22, 2007
IFMG SECURITIES, INC.
March 28, 2003 - September 22, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 4, 2003 - September 22, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
April 24, 2000 - March 31, 2003
MORGAN STANLEY DW INC.
April 20, 2000 - March 31, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
OPPENHEIMER & CO. INC.
CRD#: 249 / SEC#: 801-887, 8-4077
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VINER FINANCE INC. | PARENT CO. | |
| CASSIDY, THOMAS EDWARD | MANAGING DIRECTOR | 4502955 |
| GIORDANO, PETER JOHN | MANAGING DIRECTOR-CHIEF ADMINISTRATIVE OFFICER | 2921308 |
| HARRINGTON, EDWARD PATRICK | EXECUTIVE VICE PRESIDENT - PRIVATE CLIENT SERVICES | 2566682 |
| LOWENTHAL, ALBERT GRINSFELDER | EXECUTIVE CHAIRMAN-DIRECTOR-OWNS 100% OF PHASE II FIN'L | 313519 |
| LOWENTHAL, ROBERT STEVEN | CEO-PRESIDENT-DIRECTOR | 1639913 |
| MCNAMARA, DENNIS PATRICK | E.V.P./CLO/SECRETARY | 2938486 |
| MOLOKIE JR, LEON E | EXECUTIVE VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 1743402 |
| VALENTINO, DOMINIC THOMAS | CHIEF COMPLIANCE OFFICER | 6940515 |
| WATKINS, BRAD MICHAEL | DIRECTOR-EXECUTIVE VICE PRESIDENT-CFO | 6319251 |
Regulatory assets under management
| Total Number of Accounts | 37,605 |
| AUM (Assets Under Management) | $ 32,418,994,154 |
Disclosures
| Regulatory Event | 102 |
| Civil Event | 1 |
| Arbitration | 180 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/25/2023 | ||
| 02/24/2023 |
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.
