Stephen A. Lawandy
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 A Lawandy, who also goes by Stephen Armia Lawandy, Stephen Lawandy, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2005. Stephen had worked at 4 firms and has passed the Series 63, Series 82TO, Series 99TO, Series 79TO, 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 13, 2023 - June 5, 2025
ADELPHI STOCK BROKERS
March 13, 2019 - September 12, 2023
WEILD & CO.
April 28, 2017 - December 15, 2017
ODEON CAPITAL GROUP LLC
March 23, 2005 - July 5, 2016
CITIGROUP GLOBAL MARKETS INC.
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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
ADELPHI STOCK BROKERS
CRD#: 309048 / SEC#: , 8-70519
Contact information
FINRA licenses (51 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
