Steven A. Mermelstein
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 Andrew Mermelstein, who also goes by Steven A Mermelstein, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2000. Steven had worked at 5 firms and has passed the Series 63, 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
March 19, 2019 - September 19, 2019
COVINGTON ASSOCIATES, LLC
November 11, 2016 - July 12, 2018
HURON TRANSACTION ADVISORY LLC
March 20, 2009 - October 20, 2016
COVINGTON ASSOCIATES, LLC
May 22, 2006 - December 23, 2008
FERGHANA SECURITIES, INC.
July 21, 2004 - December 20, 2006
ASANTE PARTNERS LLC
December 7, 2000 - October 3, 2002
DRESDNER KLEINWORT WASSERSTEIN, LLC
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
COVINGTON ASSOCIATES, LLC
CRD#: 127437 / SEC#: , 8-65997
Contact information
FINRA licenses (16 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CIBOTTI, THOMAS MARK | PARTNER | |
| DUNN, IAN BENJAMIN | PARTNER, CHIEF COMPLIANCE OFFICER, AML SUPERVISOR, | |
| COVINGTON, CHRISTOPHER HUGH | PARTNER | |
| CROSBY-BROWN, LAURA MAY | FINOP | 1545513 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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