James R. Stevens
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.
James Russell Stevens, who also goes by Krieger Sstevens, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1971. James had worked at 6 firms and has passed the Series 63, SIE, Series 3, Series 5, Series 1, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 7, 2001 - December 13, 2011
ARBOR RESEARCH & TRADING, LLC
October 17, 2000 - November 15, 2004
BIANCO RESEARCH SECURITIES, LLC
January 19, 1988 - May 4, 2020
ARBOR RESEARCH & TRADING, LLC
March 31, 1978 - December 22, 1987
BARRINGTON TRADING COMPANY
February 15, 1978 - May 10, 1978
KANNE, PARIS & HOBAN, INC.
February 23, 1973 - February 9, 1978
LOEWI & CO., INCORPORATED
October 20, 1971 - March 27, 1973
R. W. PRESSPRICH & CO. INCORPORATED
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 5
Date: 11/12/1981
Interest Rate Options ExaminationSeries 1
Date: 10/8/1971
Registered Representative ExaminationSeries 00
Date: 11/20/1974
General Securities Principal ExaminationCurrent Firm
ARBOR RESEARCH & TRADING, LLC
CRD#: 21313 / SEC#: , 8-38818
Contact information
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARBOR RESEARCH HOLDINGS, LLC | OWNER | |
| HANDLER, FRED DAVID JR | CHIEF EXECUTIVE OFFICER & DIRECTOR | 1278354 |
| LUSTIG, DANIEL JAY | EXECUTIVE VICE PRESIDENT | 1496662 |
| MCELWREATH, EDWARD THOMAS | EXECUTIVE VICE PRESIDENT | 1111324 |
| MOISE, MICHAEL PAUL | PRESIDENT, FINOP & DIRECTOR | 5910037 |
| MOISE, MICHAEL PAUL | CHIEF COMPLIANCE OFFICER | 5910037 |
Disclosures
| Regulatory Event | 2 |
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.
