Steven S. Queen
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 Spencer Queen was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2005. Steven had worked at 8 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 15, 2013 - March 20, 2013
LAIDLAW & COMPANY (UK) LTD.
August 13, 2012 - October 30, 2012
IAA FINANCIAL LLC
March 29, 2012 - August 9, 2012
EKN FINANCIAL SERVICES INC.
May 20, 2010 - July 18, 2011
EKN FINANCIAL SERVICES INC.
September 8, 2009 - May 20, 2010
JESUP & LAMONT SECURITIES CORP
June 25, 2009 - July 27, 2009
EMMETT A LARKIN COMPANY, INC.
December 12, 2008 - May 21, 2009
JESUP & LAMONT SECURITIES CORP
October 9, 2007 - November 25, 2008
GUNNALLEN FINANCIAL, INC
December 13, 2006 - April 12, 2007
VFINANCE INVESTMENTS, INC
December 19, 2005 - February 23, 2006
WINDSOR STREET CAPITAL, LP
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
LAIDLAW & COMPANY (UK) LTD.
CRD#: 119037 / SEC#: , 8-53731
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
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.
