Steven L. Williams
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 Lawrence Williams was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2007. Steven had worked at 3 firms and has passed the SIE, Series 7 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
September 13, 2011 - March 26, 2015
CITIGROUP DERIVATIVES MARKETS INC.
September 19, 2008 - November 18, 2016
CITIGROUP GLOBAL MARKETS INC.
February 19, 2007 - March 27, 2007
VDM TRADING, 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
Current Firm
CITIGROUP DERIVATIVES MARKETS INC.
CRD#: 133084 / SEC#: , 8-66679
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP FINANCIAL PRODUCTS INC. | DIRECT OWNER | |
| HALDANE, DAVID GEOFFREY | DIRECTOR | 5325475 |
| KELTZ, STEVEN JAY MR. | GENERAL COUNSEL | |
| MOGILEVSKY, CHARLES ROBERT | DIRECTOR | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | PRESIDENT | 1712540 |
| MOGILEVSKY, CHARLES ROBERT | CHIEF OPERATIONS OFFICER / POO | 1712540 |
| SALIBA, RAMSEY | CHIEF FINANCIAL OFFICER / FINOP / PFO | 5358958 |
| TARLETON, JOHN KERMIT | CHIEF COMPLIANCE OFFICER | 1390864 |
| WINCHESTER, J SLADE | DIRECTOR | 1762956 |
Disclosures
| Regulatory Event | 20 |
Red Flags
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