Steven A. Bumbera
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 Arthur Bumbera, who also goes by Steven Bumbera, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2003. Steven had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2016 - June 2, 2017
KOVACK SECURITIES INC.
June 30, 2010 - June 16, 2016
LPL FINANCIAL LLC
April 30, 2008 - June 30, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 9, 2003 - April 7, 2008
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
