Stephen K. Dirkes
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 Kenneth Dirkes was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2001. Stephen had worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 10 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
April 11, 2022 - July 14, 2022
CROSSTREE CAPITAL SECURITIES, LLC
April 28, 2010 - March 11, 2022
OPPENHEIMER & CO. INC.
September 28, 2006 - May 13, 2009
UBS SECURITIES LLC
June 20, 2005 - May 22, 2006
COMMERZ MARKETS LLC
September 25, 2001 - June 14, 2004
DEUTSCHE BANK SECURITIES INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
CROSSTREE CAPITAL SECURITIES, LLC
CRD#: 154675 / SEC#: , 8-68662
Contact information
FINRA licenses (3 States and Territories)
Documents
Red Flags
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