Stephen J. Nanfara
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 Joseph Nanfara, who also goes by Steve Nanfara, Nanfara, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2001. Stephen had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 3, 2018 - January 23, 2019
OBEX SECURITIES LLC
October 9, 2015 - September 8, 2016
AEGIS CAPITAL CORP.
October 5, 2015 - September 8, 2016
AEGIS CAPITAL CORP.
January 30, 2006 - November 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2005 - November 26, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2005 - October 31, 2005
FSC SECURITIES CORPORATION
December 2, 2002 - May 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2001 - May 29, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
OBEX SECURITIES LLC
CRD#: 120002 / SEC#: , 8-65242
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
