Stephen P. Colman
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 Paul Colman was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1972. Stephen had worked at 12 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - January 9, 2012
KNIGHT CAPITAL AMERICAS, L.P.
June 3, 2008 - January 3, 2011
KNIGHT LIBERTAS LLC
March 3, 2008 - June 4, 2008
GLEACHER & COMPANY SECURITIES, INC.
May 30, 2006 - March 4, 2008
BNY CAPITAL MARKETS INC.
July 20, 1993 - April 6, 2006
CRT CAPITAL GROUP LLC
June 17, 1991 - June 15, 1993
CITATION FINANCIAL GROUP, L.P.
March 10, 1978 - July 21, 1988
PERSHING LLC
February 24, 1978 - March 10, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
December 9, 1975 - February 24, 1978
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION
October 25, 1973 - March 7, 1984
J.P. MORGAN SECURITIES LLC
February 2, 1973 - November 12, 1973
NUVEEN SECURITIES, LLC
November 8, 1972 - February 26, 1973
STUART BROTHERS
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 1
Date: 11/2/1972
Registered Representative ExaminationCurrent Firm
KNIGHT CAPITAL AMERICAS, L.P.
CRD#: 38599 / SEC#: , 8-48311
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KNIGHT CAPITAL HOLDINGS LLC | LIMITED PARTNER | |
| CORRAO, MICHAEL TIMOTHY | CO-CCO | 1841775 |
| DONOHUE, KEVIN M | CO-CCO | 2767061 |
| DUNHAM, TIMOTHY PHILIP | FINANCIAL OPERATIONS PRINCIPAL | 1016294 |
| KNIGHT SECURITIES GENERAL LLC | LLC- GENERAL PARTNER | |
| LYONS, ROBERT KEANE | SENIOR MANAGING DIRECTOR | 1760001 |
| MAZZELLA, JOSEPH CARMINE JR | CEO | 1969966 |
| SADOFF, STEVEN JAY | EXECUTIVE VICE PRESIDENT | 4350038 |
| SOHOS, GEORGE | SENIOR MANAGING DIRECTOR | 4198973 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 2 |
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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