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SQ

Steven Y. Quintero

RONDEIVU SECURITIES
Southport, CT 06890
Some features on this profile are disabled
CRD#: 5307631
SQ

Professional summary

Steven Yoichi Quintero, who also goes by Steven Y Quintero, is a registered financial professional currently at RONDEIVU SECURITIES, LLC located in Southport, Connecticut.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2023. Steven has worked at 1 firm and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 3 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Y Quintero

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 Yoichi Quintero'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

April 4, 2023 - Present

RONDEIVU SECURITIES, LLC

Office #1: 354 Pequot Avenue, Southport, CT 06890Office #2: 354 Pequot Avenue, Southport, CT 06890
BD
CRD#: 321162
Southport, CT

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
Connecticut
(4/5/2023)
RR
Florida
(2/7/2024)
RR
Illinois
(2/14/2024)
RR
New York
(12/3/2023)
RR
Texas
(12/6/2023)
RR
Virginia
(1/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/2/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/4/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/1/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/14/2012
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/13/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RS
RONDEIVU SECURITIES, LLC
RONDEIVU SECURITIES, LLC

CRD#: 321162 / SEC#: , 8-70931

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

Main Address
354 Pequot Avenue, Southport, CT 06890
Mailing Address
354 Pequot Avenue, Southport, CT 06890
Phone number
(646) 793-1005
Established
Connecticut since 03/18/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
RONDEIVU, INC.MEMBER
ASHMORE, MICHAEL RADLEYCEO AND EXECUTIVE REPRESENTATIVE
BRANT, DAVID ROBERTFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER2718478
QUINTERO, STEVEN YOICHICCO

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

RONDEIVU SECURITIES, LLC

CRD#: 321162Southport, CT 06890

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