Stephen C. Forman
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 Campbell Forman was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2000. Stephen had worked at 8 firms and has passed the Series 63, SIE, 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
September 10, 2019 - August 4, 2022
USQ SECURITIES LLC
June 10, 2015 - May 21, 2019
J.P. MORGAN SECURITIES LLC
September 10, 2012 - May 11, 2015
CGS INTERNATIONAL SECURITIES USA, INC.
May 9, 2012 - September 6, 2012
CASIMIR CAPITAL L.P.
June 29, 2007 - April 7, 2010
UBS SECURITIES LLC
May 1, 2001 - June 11, 2007
J.P. MORGAN SECURITIES INC.
February 23, 2001 - May 1, 2001
JPMSI
May 30, 2000 - May 17, 2001
ORD MINNETT INC.
State Registrations and Notice Filings
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Exams
Current Firm
USQ SECURITIES LLC
CRD#: 299008 / SEC#: , 8-70279
Contact information
FINRA licenses (6 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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