Stephen M. Carty
Professional summary
Stephen Michael Carty is a registered financial professional currently at SISUNG SECURITIES CORPORATION located in Metairie, Louisiana.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1973. Stephen has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 15, Series 5, PC, Series 1 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Michael Carty's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 1994 - Present
SISUNG SECURITIES CORPORATION
Office #1: 3850 N. Causeway Blvd. Ste. 1930, Metairie, LA 70002Office #2: 3850 N. Causeway Blvd. Ste. 1930, Metairie, LA 70002October 25, 1990 - July 12, 1994
CAPITAL ONE INVESTMENTS, LLC
October 17, 1988 - November 2, 1990
LEGG MASON WOOD WALKER, INCORPORATED
February 14, 1973 - October 17, 1988
HOWARD, WEIL, LABOUISSE, FRIEDRICHS 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
(8/20/2012)
(6/8/1994)
(2/10/2020)
(2/10/2020)
(1/25/2012)
(6/8/1994)
(6/10/1994)
(6/8/1994)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 12/13/1982
Foreign Currency Options ExaminationSeries 5
Date: 11/17/1981
Interest Rate Options ExaminationPC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 2/10/1973
Registered Representative ExaminationSeries 12
Date: 8/15/1981
NYSE Branch Manager ExaminationFINRA
Current Firm
SISUNG SECURITIES CORPORATION
CRD#: 25752 / SEC#: , 8-42121
Contact information
FINRA licenses (10 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SISUNG HOLDINGS, LLC | SHAREHOLDER | |
| MAYEAUX, JOHN ELLIS | SR. VP, PUBLIC FINANCE | 2993410 |
| SCHEXNAYDER, KENT MATTHEW | VP, PUBLIC FINANCE | 3074481 |
| SISUNG, LAWRENCE JOHN III | DIRECTOR | 1790087 |
| SISUNG, LAWRENCE JOHN JR | PRESIDENT / CEO / CCO | 1285539 |
| SISUNG, ROBERT LANE | DIRECTOR / CFO | 1990367 |
| SOLARES, RICHARD LOUIS | SR. VP, BROKER DEALER SERVICES | 2029652 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Company Information
SISUNG SECURITIES CORPORATION
CRD#: 25752Metairie, LA 70002TRUST BUT VERIFY
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