Steven C. Warsaw

PHOENIX IB

New York, NY 10017

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CRD#: 4568850

Professional summary

Steven Craig Warsaw is a registered financial professional currently at PHOENIX IB located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 79, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

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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

August 6, 2021 - Present

PHOENIX IB

Office #1: 535 Fifth Avenue Suite 1006, New York, NY 10017

CRD#: 132710

New York, NY

Past

April 21, 2015 - August 11, 2021

OBERON SECURITIES, LLC

CRD#: 132598

NEW YORK, NY

Past

October 31, 2014 - April 2, 2015

MITCHELL SECURITIES, INC.

CRD#: 29017

NEW YORK, NY

Past

January 13, 2012 - October 23, 2014

MILLER TABAK + CO., LLC

CRD#: 47293

NEW YORK, NY

Past

July 28, 2008 - November 5, 2008

KJM SECURITIES, INC.

CRD#: 20277

BRONXVILLE, NY

Past

May 18, 2004 - July 25, 2006

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 12, 2003 - December 2, 2003

TRUSTED SECURITIES ADVISORS CORP.

CRD#: 24049

NEW YORK, NY

Past

August 21, 2002 - May 18, 2004

MONY SECURITIES CORPORATION

CRD#: 4386

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

New York
(8/6/2021)

Exams

State Security Law Exam

Series 63

Date: 8/22/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 8/20/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/16/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 1/12/2012

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 10/20/2011

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

PHOENIX IB

OCEAN TOMO INVESTMENTS | PM SECURITIES, LLC DBA PHOENIX CAPITAL RESOURCES | PM SECURITIES, LLC | PHOENIX IB | PHOENIX CAPITAL RESOURCES

CRD#: 132710 / SEC#: , 8-66628

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

110 Commons Court, Chadds Ford, PA 19317

Mailing Address

110 Commons Court, Chadds Ford, PA 19317

Phone number

(610) 358-4700

Established

Delaware since 07/07/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PHOENIX CAPITAL RESOURCES, LLC	MEMBER
KARBINER, MARK ALAN	PRESIDENT	4233458
SPINDEL, HOWARD	CCO	708042
SUTTERS, MICHAEL KEITH	FINANCIAL OPERATIONS PRINCIPAL	6972896

Red Flags

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Firm Stability Insights

Steven C. Warsaw

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Craig Warsaw's CRS (Customer Relationship Summary).

Certified licenses

Experience

OBERON SECURITIES, LLC

MITCHELL SECURITIES, INC.

MILLER TABAK + CO., LLC

KJM SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

TRUSTED SECURITIES ADVISORS CORP.

MONY SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 8/22/2016

Series 66

Date: 8/20/2003

SIE

Date: 10/1/2018

Series 79

Date: 12/16/2014

Series 7

Date: 1/12/2012

Series 3

Date: 10/20/2011

FINRA

Current Firm

PHOENIX IB

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

PHOENIX IB

TRUST BUT VERIFY

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