Steven V. Berman
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.
Steven Vance Berman, who also goes by Steve Vance Berman, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2011. Steven had worked at 4 firms and has passed the SIE exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2017 - August 6, 2020
BELVEDERE TRADING LLC
July 9, 2013 - April 20, 2017
SUMO CAPITAL, LLC
April 27, 2012 - June 28, 2013
CASSANDRA TRADING GROUP, LLC
August 11, 2011 - January 3, 2012
STEVEN V. BERMAN 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
Current Firm
BELVEDERE TRADING LLC
CRD#: 132605 / SEC#: , 8-66612
Contact information
Documents
Disclosures
| Regulatory Event | 29 |
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.
