Stephen Lei
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.
Stephen Lei was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2006. Stephen had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2014 - June 16, 2014
BRAVER STERN SECURITIES LLC
June 4, 2013 - January 24, 2014
STONECASTLE SECURITIES, LLC
September 19, 2012 - April 15, 2013
GLEACHER & COMPANY SECURITIES, INC.
October 1, 2010 - September 20, 2012
KGS-ALPHA CAPITAL MARKETS, L.P.
April 23, 2010 - October 11, 2010
ELEVATION, LLC
September 28, 2009 - April 23, 2010
LEDGEMONT CAPITAL MARKETS LLC
December 18, 2006 - September 5, 2008
HSBC SECURITIES (USA) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRAVER STERN SECURITIES LLC
CRD#: 29108 / SEC#: 801-79168, 8-43611
Contact information
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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