Steven P. Masiello
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 Patrick Masiello was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2005. Steven had worked at 7 firms and has passed the Series 63, SIE 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
November 6, 2014 - December 20, 2016
SOUTHEAST INVESTMENTS, N.C., INC.
April 26, 2013 - November 11, 2014
JOSEPH GUNNAR & CO. LLC
August 24, 2012 - February 14, 2013
CALDWELL INTERNATIONAL SECURITIES
July 5, 2012 - August 6, 2012
CHARLES VISTA LLC
September 21, 2010 - October 1, 2010
J.P. TURNER & COMPANY, L.L.C.
November 16, 2009 - July 9, 2010
JOHN THOMAS FINANCIAL
November 3, 2005 - November 16, 2009
HUNTER SCOTT FINANCIAL LLC.
January 1, 2005 - September 9, 2005
J.P. TURNER & COMPANY, L.L.C.
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
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
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.
