Stephen T. Klawitter
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 Thomas Klawitter, who also goes by Stephen Thomas Klawitter, Stephen Klawitter, Stephen T Klawitter, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2007. Stephen had worked at 7 firms and has passed the Series 66, Series 63, Series 3, SIE, Series 7 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2022 - March 5, 2024
TRADESTATION SECURITIES, INC.
February 24, 2021 - December 21, 2021
E*TRADE SECURITIES LLC
January 13, 2020 - January 5, 2021
FIFTH THIRD SECURITIES, INC.
October 23, 2019 - January 5, 2021
FIFTH THIRD SECURITIES, INC.
January 2, 2019 - October 18, 2019
INTERACTIVE BROKERS LLC
March 9, 2016 - May 1, 2018
IASG ALTERNATIVES, LLC
May 4, 2010 - November 7, 2014
MIDAMERICA FINANCIAL SERVICES, INC.
April 2, 2007 - May 3, 2010
ALPHAMAX DISTRIBUTORS, 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
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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