Steven J. Song

MAREX CAPITAL MARKETS

San Francisco, CA 94111

Some features on this profile are disabled

CRD#: 4513824

Professional summary

Steven Jeong Song, who also goes by Jeong Ho Song, Steve Song, is a registered financial professional currently at MAREX CAPITAL MARKETS INC. located in San Francisco, California.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 4 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeong Ho Song | Steve Song

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Jeong Song's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 1, 2023 - Present

MAREX CAPITAL MARKETS INC.

Office #1: Two Embarcadero Center Suite 470, San Francisco, CA 94111

CRD#: 161014

San Francisco, CA

Past

September 6, 2022 - December 13, 2023

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

September 25, 2019 - September 28, 2022

STONEX OUTSOURCED SERVICES LLC

CRD#: 30773

PARK CITY, UT

Past

July 15, 2002 - May 19, 2006

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(12/1/2023)

New York
(12/1/2023)

Exams

State Security Law Exam

Series 63

Date: 9/20/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 10/3/2019

Securities Trader Exam

General Industry/Product Exam

Series 7TO

Date: 9/24/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/9/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/2/2004

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/12/2002

General Securities Representative Examination

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

E D & F MAN CAPITAL MARKETS INC. | MPS | MAREX CAPITAL MARKETS INC.

CRD#: 161014 / SEC#: , 8-69039

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

140 East 45th Street 10th Floor, New York, NY 10017

Mailing Address

140 East 45th Street 10th Floor, New York, NY 10017

Phone number

(212) 618-2800

Established

New York since 01/10/1952

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
MAREX SERVICES INC.	DIRECT OWNER
BATES, CHRISTOPHER	FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR	5648556
BERNICKY, JENNIFER KAISER	CHIEF OPERATING OFFICER, DIRECTOR	4781625
CHERRY, ELIN LYNNE	CHIEF COMPLIANCE OFFICER	2430837
FALCO, CARMINE DOMENICO	PRINCIPAL OPERATIONS OFFICER	2782798
HOOD, STEPHEN MICHAEL	DIRECTOR	3139127
VITTAL, MAHESH RAM	PRES. & CEO, DIRECTOR	4593014

Disclosures

Regulatory Event

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.

Similar Advisors

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

Maximilian Soares

J.P. MORGAN SECURITIES LLC

San Francisco, CA

Jason Fang

TERRAFIRMA WEALTH PARTNERS

IAR

WALNUT CREEK, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven J. Song

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Jeong Song's CRS (Customer Relationship Summary).

Certified licenses

Experience

COWEN AND COMPANY

STONEX OUTSOURCED SERVICES LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/20/2019

Series 57TO

Date: 10/3/2019

Series 7TO

Date: 9/24/2019

SIE

Date: 9/9/2019

Series 3

Date: 9/2/2004

Series 7

Date: 7/12/2002

Cboe C2 Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

MAREX CAPITAL MARKETS INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MAREX CAPITAL MARKETS INC.

TRUST BUT VERIFY

Similar Advisors