Stephanie Cadet
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.
Stephanie Cadet, who also goes by Stephanie Lynn Cadet, Stephanie De Leon Cadet, Stephanie Lynn De Leon, Stephanie De Leon, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 2006. Stephanie had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2022 - July 10, 2026
BTIG, LLC
October 14, 2020 - November 1, 2022
UBS SECURITIES LLC
October 14, 2020 - November 1, 2022
UBS FINANCIAL SERVICES INC.
April 10, 2017 - September 2, 2020
BTIG, LLC
September 4, 2013 - March 3, 2017
CLSA AMERICAS, LLC
September 22, 2008 - February 26, 2013
BARCLAYS CAPITAL INC.
January 1, 2006 - September 22, 2008
LEHMAN BROTHERS 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
Current Firm
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
