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SS

Steven A. Segal

HCC SECURITIES GROUP,
Jenkintown, PA 19046
Some features on this profile are disabled
CRD#: 418012
SS

Professional summary

Steven Alan Segal is a registered financial professional currently at HCC SECURITIES GROUP, INC located in Jenkintown, Pennsylvania.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1973. Steven has worked at 4 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 79TO, SIE, Series 7, Series 22, Series 1, Series 14, Series 24 and Series 39 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Alan Segal's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

April 8, 1987 - Present

HCC SECURITIES GROUP, INC

Office #1: 261 Old York Road, Suite #823a, Jenkintown, PA 19046Office #2: 261 Old York Rd # 823a, Jenkintown (montgomery), PA 19046
BD
CRD#: 16861
Jenkintown, PA
Past

October 20, 2016 - November 3, 2016

J. ALDEN ASSOCIATES, INC.

BD
CRD#: 40002
WAYNE, PA
Past

December 16, 1985 - August 20, 1986

HCC SECURITIES GROUP, INC

BD
CRD#: 16861
Past

July 8, 1974 - October 26, 1977

THE VARIABLE ANNUITY MARKETING COMPANY

BD
CRD#: 5081
Past

June 21, 1973 - March 4, 1974

GIRARD INVESTMENT SERVICES, LLC

BD
CRD#: 1834

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/17/2013)
RR
Delaware
(11/16/2007)
RR
Florida
(1/1/1998)
RR
Georgia
(8/24/2023)
RR
New Jersey
(8/5/1997)
RR
New York
(11/14/2007)
RR
Pennsylvania
(12/4/1998)
RR
Texas
(7/30/2013)
RR
Virginia
(11/29/2004)

Exams

State Security Law Exam
RR
Series 63
Date: 5/7/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/17/1987
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 5/7/1984
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 6/18/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/29/1987
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 7/24/1984
Direct Participation Programs Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HCC SECURITIES GROUP, INC
HCC SECURITIES GROUP, INC | PARK CITY CAPITAL, INC.

CRD#: 16861 / SEC#: , 8-34645

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
261 Old York Rd # 823a, Jenkintown (montgomery), PA 19046
Mailing Address
261 Old York Rd #823 A, Jenkintown (montgomery), PA 19046
Phone number
(215) 517-5700
Established
Delaware since 02/08/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEGAL, STEVEN ALANPRESIDENT418012
SEGAL, STEVEN ALANCEO, CHIEF COMPLIANCE OFFICER418012
HCC RICH CAPITAL HOLDINGS, LTDSHARE HOLDER

Disclosures

Regulatory Event2

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.

Company Information

HCC SECURITIES GROUP, INC

CRD#: 16861Jenkintown, PA 19046

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