Steven J. Sadoff
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 Jay Sadoff was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2007. Steven had worked at 13 firms and has passed the Series 99TO, SIE, Series 57, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2020 - May 27, 2020
CFWP SECURITIES, LLC
March 9, 2020 - November 20, 2020
CASTLEOAK SECURITIES, LP
March 9, 2020 - July 1, 2021
SUNRISE BROKERS LLC
March 9, 2020 - September 19, 2022
AQUA SECURITIES L.P.
March 9, 2020 - October 21, 2025
MINT BROKERS
March 9, 2020 - October 21, 2025
GFI SECURITIES LLC
March 9, 2020 - October 21, 2025
FMX EXECUTION, LLC
March 9, 2020 - October 21, 2025
CF SECURED, LLC
March 9, 2020 - October 21, 2025
CANTOR FITZGERALD & CO.
May 8, 2018 - October 21, 2025
BGC FINANCIAL, L.P.
November 22, 2013 - June 27, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2011 - April 8, 2013
VIRTU AMERICAS LLC
May 24, 2007 - October 25, 2012
KNIGHT CAPITAL AMERICAS, L.P.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 5/23/2007
Corporate Securities Limited Representative ExaminationCurrent Firm
CFWP SECURITIES, LLC
CRD#: 170228 / SEC#: , 8-69415
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANTOR FITZGERALD WEALTH PARTNERS HOLDINGS, LLC | PARENT COMPANY | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| KAPLAN, MARK ELLIOT | CHIEF EXECUTIVE OFFICER | 2618079 |
| PAULSON, KENNETH MICHAEL | CHIEF FINANCIAL OFFICER | 2862259 |
| SHIELDS, WILLIAM MICHAEL | CHIEF COMPLIANCE OFFICER | 2380166 |
Red Flags
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