Steven K. Ammann
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.
Steven K Ammann was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2009. Steven had worked at 4 firms and has passed the Series 63, SIE 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
May 13, 2015 - June 16, 2016
MOSAIC CAPITAL, LLC
October 23, 2012 - September 6, 2013
ICAP SECURITIES USA LLC
October 22, 2012 - September 6, 2013
TP ICAP GLOBAL MARKETS AMERICAS LLC
November 5, 2009 - October 22, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MOSAIC CAPITAL, LLC
CRD#: 171587 / SEC#: , 8-69469
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| 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.
