Steven Louie
Professional summary
Steven Louie, who also goes by Steven P Louie, Steven Louie, is a registered financial professional currently at MEMX EXECUTION SERVICES LLC located in Jersey City, New Jersey.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2015. Steven has worked at 2 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 57 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Louie's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2020 - Present
MEMX EXECUTION SERVICES LLC
Office #1: 525 Washington Boulevard Office 52, Jersey City, NJ 07310December 21, 2015 - June 6, 2018
GOLDMAN SACHS & CO. 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
(1/4/2021)
(7/21/2020)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
MEMX EXECUTION SERVICES LLC
CRD#: 304129 / SEC#: , 8-70449
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MEMX HOLDINGS LLC | MEMX HOLDINGS LLC | |
| ACHARYA, ISHAAN | CHIEF FINANCIAL OFFICER | 5358383 |
| FRANZON, ANDERS WILLIAM | GENERAL COUNSEL / SECRETARY | |
| KELLNER, JONATHAN ALAN | CHIEF EXECUTIVE OFFICER | 2209043 |
| SAUERWINE, MEGAN LYNN | CONTROLLER / FINOP | 6024362 |
| STRATHMAN, LAUREN MALLORY | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6575150 |
| ZUBA, QUITO JON | DIRECTOR, HEAD OF MARKET OPERATIONS | 4660263 |
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.
