SG
Steven M. Gottesman
JOSEPH GRACE
CONSHOHOCKEN, PA 19428
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CRD#: 4464524
SG
Professional summary
Steven Michael Gottesman is a registered financial advisor currently at JOSEPH GRACE located in Conshohocken, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 2 firms and has passed the Series 66, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I AM IN ANOTHER INVESTMENT-RELATED BUSINESS CALLED CHRISTENSON INVESTMENT PARTNERS LOCATED AT 300 BARR HARBOR DRIVE, SUITE 138, CONSHOHOCKEN, PA 19428. THE BUSINESS PROVIDES THIRD-PARTY MARKETING SOLICITATION SERVICES FOR INSTITUTIONAL INVESTMENT MANAGERS. I HAVE BEEN SENIOR VICE PRESIDENT OF THIS BUSINESS SINCE MAY 2, 2005 AND DEVOTE APPROXIMATELY HALF MY WORKING TIME (25 HOURS PER WORK; HALF THE TIME DURING SECURITIES TRADING HOURS) IN COORDINATING AND INTRODUCING MARKETING SERVICES TO INSTITUTIONAL INVESTORS AND THEIR CONSULTANTS ON BEHALF OF THREE REGISTERED INVESTMENT ADVISORS.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Michael Gottesman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Michael Gottesman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 19, 2006 - Present
JOSEPH GRACE
Office #1: 300 Barr Harbor Drive Suite 138, Conshohocken, PA 19428RIA
BD
CRD#: 103580
CONSHOHOCKEN, PA
Current
May 23, 2005 - Present
JOSEPH GRACE
Office #1: 48 Wall Street 11 Th Floor, New York, NY 10005RIA
BD
CRD#: 103580
New York, NY
Past
January 7, 2002 - April 18, 2005
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New Jersey(4/27/2006)
RR
New York(8/9/2005)
RR
Pennsylvania(8/9/2005)
IAR
Pennsylvania(8/31/2006)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JG
JOSEPH GRACE
JOSEPH & GRACE HOLDINGS, INC. | JOSEPH GRACE HOLDINGS, INC. | JOSEPH GRACE
CRD#: 103580 / SEC#: , 8-52203
New Jersey
Registered Investment Advisory firm - SEC (8/14/2003 Approved)New York
Registered Investment Advisory firm - SEC (5/27/2005 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (8/31/2006 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
48 Wall Street 11th Fl. 11th Flr, New York, NY, 10005
Mailing Address
48 Wall Street 11th Fl., New York, NY, 10005
Phone number
(212) 461-2280
Established
Delaware since 03/26/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
5
FINRA licenses (35 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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