Stephen M. Sohmer
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.
Stephen Michael Sohmer was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1972. Stephen had worked at 8 firms and has passed the Series 63, Series 7, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2002 - January 6, 2004
SCHONFELD SECURITIES, LLC
October 1, 2000 - January 14, 2002
SPYDER SECURITIES INCORPORATED
February 6, 1989 - December 21, 1989
BLUMENTHAL SECURITIES, INC.
September 26, 1979 - January 1, 1990
CREDIT SUISSE SECURITIES (USA) LLC
August 23, 1973 - February 16, 1978
UBS ASSET MANAGEMENT (US) INC.
May 30, 1973 - October 7, 1973
CONNECTICUT NUTMEG SECURITIES, INC.
October 19, 1972 - December 1, 1972
BRUNS, NORDEMAN, REA & CO.
January 1, 1972 - November 17, 1972
RAFKIND & CO
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
Series 000
Date: 12/23/1971
General Securities Principal ExaminationSeries 1
Date: 12/23/1971
Registered Representative ExaminationCurrent Firm
SCHONFELD SECURITIES, LLC
CRD#: 23304 / SEC#: , 8-40148
Contact information
Documents
Disclosures
| Regulatory Event | 19 |
| Arbitration | 1 |
Red Flags
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