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SP

Steven E. Pollicino

AUERBACH GRAYSON & COMPANY LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 5055772
SP

Professional summary

Steven E Pollicino is a registered financial professional currently at AUERBACH GRAYSON & COMPANY LLC located in New York, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2005. Steven has worked at 2 firms and has passed the Series 63, SIE, Series 57 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven E Pollicino's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 9, 2007 - Present

AUERBACH GRAYSON & COMPANY LLC

Office #1: 20w 55th Street, New York, NY 10019
BD
CRD#: 30761
New York, NY
Past

December 6, 2005 - January 23, 2007

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
MELVILLE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Colorado
(6/21/2016)
RR
Connecticut
(6/21/2016)
RR
Florida
(6/21/2016)
RR
Massachusetts
(6/21/2016)
RR
New York
(11/9/2007)
RR
Texas
(6/21/2016)
RR
Virginia
(6/21/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 12/23/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 5/15/2018
Securities Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 12/5/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AG
AUERBACH GRAYSON & COMPANY LLC
AGCO | JL AUERBACH & COMPANY INCORPORATED | AUERBACH GRAYSON & COMPANY LLC | AUERBACH GRAYSON & COMPANY INCORPORATED | AUERBACH GRAYSON & CO. | AUERBACH GRAYSON | AUERBACH

CRD#: 30761 / SEC#: , 8-45136

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
20w 55th Street 4th Floor, New York, NY 10019
Mailing Address
20w 55th Street, New York, NY 10019
Phone number
(212) 557-4444
Established
Delaware since 01/29/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HDH GLOBAL LLCOWNER
AIKINS, GIL OCCO / CLO5157274
BHATNAGAR, NIKHILCHIEF EXECUTIVE OFFICER5874592
HEWITT, MICHAEL THOMAS JRFINOP6594844
MANDEL, SIMON MARKOVICHBOARD MEMBER5824632
TOKATLILAR, LEONGLOBAL HEAD OF OPERATIONS5838809

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.

Company Information

AUERBACH GRAYSON & COMPANY LLC

CRD#: 30761New York, NY 10019

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