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Steven A. Schwab

THOMA BRAVO CAPITAL MARKETS
Chicago, IL 60606-1511
Some features on this profile are disabled
CRD#: 4589027
SS

Professional summary

Steven Anthony Schwab, who also goes by Steve Schwab, Steven A Schwab, is a registered financial professional currently at THOMA BRAVO CAPITAL MARKETS, LLC located in Chicago, Illinois.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2007. Steven has worked at 3 firms and has passed the Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Schwab | Steven A Schwab

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 Anthony Schwab'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

July 23, 2021 - Present

THOMA BRAVO CAPITAL MARKETS, LLC

Office #1: 110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511Office #2: 110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
BD
CRD#: 311317
Chicago, IL
Past

July 12, 2010 - May 16, 2014

TIBRA TRADING AMERICA LLC

BD
CRD#: 151529
CHICAGO, IL
Past

December 19, 2007 - April 13, 2009

OPTIVER US LLC

BD
CRD#: 128030
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7
Date: 12/18/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 5/10/2021
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/27/2008
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TB
THOMA BRAVO CAPITAL MARKETS, LLC
THOMA BRAVO CAPITAL MARKETS, LLC

CRD#: 311317 / SEC#: , 8-70612

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Mailing Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Phone number
(312) 254-3300
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
THOMA BRAVO ADVISERS, L.P.MEMBER
ALPER, JENNIFER JAMESPRINCIPAL, INVESTOR RELATIONS & MARKETING7309562
KRZAK, ALEXANDER JACOBPRINCIAL OPERATIONS OFFICER6349160
MOCK, ERWIN HECTORPRINCIPAL, HEAD OF CAPITAL MARKETS4236454
PORTNOFF, DAVID ROSSFIN OP, PRINCIPAL FINANCIAL OFFICER2977967
SCHWAB, STEVEN ANTHONYSENIOR DIRECTOR, DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER4589027

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.

Company Information

THOMA BRAVO CAPITAL MARKETS, LLC

CRD#: 311317Chicago, IL 60606-1511

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