Steven Freitas
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 Freitas, who also goes by Steven Frietas, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2000. Steven had worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 87, Series 86 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 28, 2010 - July 20, 2015
ARCADIA SECURITIES, LLC
September 6, 2001 - August 6, 2009
BMO CAPITAL MARKETS CORP.
December 12, 2000 - July 11, 2001
JOSEPHTHAL & CO., 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
ARCADIA SECURITIES, LLC
CRD#: 44656 / SEC#: , 8-50764
Contact information
FINRA licenses (40 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
