Steven R. Pitzner
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 Robert Pitzner, who also goes by Steven R. Pitzner, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2001. Steven had worked at 9 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
October 10, 2011 - June 4, 2015
GIRARD SECURITIES, INC.
October 4, 2011 - June 4, 2015
GIRARD SECURITIES, INC.
April 20, 2011 - September 20, 2011
GBS FINANCIAL CORP.
May 13, 2010 - January 3, 2011
DYNASTY CAPITAL PARTNERS, INC.
December 16, 2008 - April 30, 2009
WORLD GROUP SECURITIES, INC.
January 2, 2008 - October 7, 2008
PARK AVENUE SECURITIES LLC
July 17, 2006 - October 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 2, 2005 - February 10, 2006
METROPOLITAN LIFE INSURANCE COMPANY
February 2, 2005 - February 10, 2006
MSI FINANCIAL SERVICES, INC.
August 23, 2002 - July 28, 2003
MML INVESTORS SERVICES, LLC
July 10, 2001 - June 10, 2002
MML INVESTORS SERVICES, LLC
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
Current Firm
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
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.
