Stephan M. Levine
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.
Stephan Matthew Levine, who also goes by Steve Levine, was a registered financial professional .
Stephan is a previously registered financial professional and started their career in finance in 2001. Stephan had worked at 3 firms and has passed the Series 66, Series 3 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
October 4, 2006 - September 26, 2012
TORA TRADING SERVICES, LLC
April 23, 2003 - June 13, 2006
RBC CAPITAL MARKETS, LLC
April 23, 2003 - June 13, 2006
RBC CAPITAL MARKETS, LLC
September 6, 2001 - August 20, 2002
ROBERTSON STEPHENS, INC.
March 14, 2001 - August 20, 2002
ROBERTSON STEPHENS, INC.
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
TORA TRADING SERVICES, LLC
CRD#: 135423 / SEC#: , 8-66925
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
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.
