Steve S. Oh
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.
Steve Sohyun Oh was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2007. Steve had worked at 5 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55 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
January 7, 2019 - October 14, 2020
NASDAQ EXECUTION SERVICES, LLC
September 9, 2015 - July 14, 2017
VAN ECK SECURITIES CORPORATION
June 8, 2011 - September 4, 2015
VANGUARD MARKETING CORPORATION
September 7, 2010 - May 5, 2011
NEWEDGE USA, LLC
November 8, 2007 - July 9, 2010
TD ARRANGED SERVICES LLC
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 7TO
Date: 5/3/2023
General Securities Representative ExaminationSeries 57TO
Date: 5/3/2023
Securities Trader ExamSeries 55
Date: 12/4/2007
Limited Representative-Equity Trader ExamCurrent Firm
NASDAQ EXECUTION SERVICES, LLC
CRD#: 7270 / SEC#: , 8-37329
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
Disclosures
| Regulatory Event | 10 |
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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