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Steven Adler

Some features on this profile are disabled
CRD#: 5329394
SA

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 Adler was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2008. Steven had worked at 2 firms and has passed the Series 63, Series 82TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 11, 2019 - December 17, 2021

TIGERBRIDGE CAPITAL

BD
CRD#: 293066
ALBANY, NY
Past

January 1, 2008 - May 24, 2012

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/25/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 6/11/2019
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 5/6/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/26/2007
General Securities Representative Examination

Current Firm

TC
TIGERBRIDGE CAPITAL
TIGERBRIDGE CAPITAL | TIGERBRIDGE CAPITAL LLC

CRD#: 293066 / SEC#: , 8-70086

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

Main Address
187 Wolf Road, Suite 300, Albany, NY 12205
Mailing Address
187 Wolf Road, Suite 300, Albany, NY 12205
Phone number
(917) 714-0452
Established
Delaware since 06/14/2017
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TIGERBRIDGE HOLDINGS LLCSHAREHOLDER
BEATON, DANIEL STEWARTFINANCIAL AND OPERATIONS PRINCIPAL4240769
GARDINIER, JUSTIN SCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER4334703

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

TIGERBRIDGE CAPITAL

CRD#: 293066

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