Stephen A. Steglitz
Professional summary
Stephen Alan Steglitz is a registered financial professional currently at BEECH HILL SECURITIES, INC. located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1976. Stephen has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 14, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Alan Steglitz's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 11, 2007 - Present
BEECH HILL SECURITIES, INC.
Office #1: 880 Third Avenue 16th Floor, New York, NY 10022February 15, 2013 - June 25, 2020
BEECH HILL ADVISORS, INC
March 8, 1983 - June 20, 2008
BEDROK SECURITIES LLC
March 1, 1979 - February 23, 1983
MICHAEL A WEISSER, INC.
January 2, 1976 - December 3, 1978
J. B. HANAUER & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/19/2008)
(10/12/2007)
(10/17/2007)
(10/17/2007)
(10/12/2007)
(10/11/2007)
(2/7/2008)
(9/12/2017)
(10/15/2007)
(10/16/2007)
(10/23/2007)
(2/8/2008)
(2/8/2008)
(11/10/2020)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
BEECH HILL SECURITIES, INC.
CRD#: 24771 / SEC#: , 8-41389
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IANNUZZI, ADOLFO VINCENT | CFO / CCO- MUTUAL FUNDS | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CHIEF EXECUTIVE OFFICER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | PRESIDENT | 2874669 |
| IANNUZZI, ADOLFO VINCENT | OWNER | 2874669 |
| IANNUZZI, ADOLFO VINCENT | CORP SECY | 2874669 |
| CANTOR, PAUL SETH | OWNER | 39844 |
| CATANIA, FERDINANDO JR | CCO - MUNICIPALS | 3263571 |
| FIORINI, DONNA ANNE | EXECUTIVE REPRESENTATIVE | 1289258 |
| FIORINI, DONNA ANNE | CCO - GENERAL COMPLIANCE | 1289258 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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