Steven F. Ivey
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 F Ivey was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2005. Steven had worked at 4 firms and has passed the Series 63, Series 3, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2010 - December 4, 2013
ALLSTON TRADING LLC
August 26, 2009 - March 23, 2010
MELVILLE ISLAND, LLC
March 4, 2009 - June 17, 2010
HGS LLC
January 28, 2005 - September 21, 2007
ABN AMRO CLEARING USA LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALLSTON TRADING LLC
CRD#: 125499 / SEC#: , 8-65807
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 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.
