Steven Pradet

CRD#: 4224369

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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 Pradet, who also goes by Steven H Pradet, Steven Herve Pradet, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2000. Steven had worked at 11 firms and has passed the Series 63, Series 99TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steven H Pradet | Steven Herve Pradet

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CRD#: 104474

NASHVILLE, TN

Past

September 22, 2000 - December 7, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 11/8/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/2000

General Securities Representative Examination

Current Firm

PALAFOX TRADING LLC

CRD#: 131114 / SEC#: , 8-66420

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

830 Brickell Plaza, Miami, FL 33131

Mailing Address

830 Brickell Plaza, Miami, FL 33131

Phone number

(305) 929-6851

Established

Delaware since 01/16/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
PALAFOX HOLDCO LLC	MEMBER
CARROLL, SEAN VINCENT	CHIEF EXECUTIVE OFFICER	2518443
CARROLL, SEAN VINCENT	CHIEF COMPLIANCE OFFICER	2518443
CITADEL ADVISORS LLC	MANAGER
HENRY, STEVEN MICHAEL	CHIEF ACCOUNTING OFFICER	5587809

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.

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Advisor Monitoring

Firm Stability Insights

Steven Pradet

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CITADEL SECURITIES LLC

CITADEL SECURITIES INSTITUTIONAL LLC

CITADEL CLEARING LLC

PALAFOX TRADING LLC

CITADEL SECURITIES LLC

CITADEL SECURITIES INSTITUTIONAL LLC

CITADEL CLEARING LLC

E*TRADE SECURITIES LLC

E*TRADE CLEARING LLC

HSBC SECURITIES (USA) INC.

GOLDMAN SACHS & CO. LLC

J.P. MORGAN SECURITIES INC.

SANFORD C. BERNSTEIN & CO., LLC

SANFORD C. BERNSTEIN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/8/2000

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/20/2000

Current Firm

PALAFOX TRADING LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

PALAFOX TRADING LLC

TRUST BUT VERIFY

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