Steven P. Frost
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 Paul Drew Frost was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2007. Steven had worked at 2 firms and has passed the Series 55, 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
June 18, 2013 - March 26, 2014
JB DRAX HONORE' INC.
November 30, 2007 - April 22, 2013
BROWN BROTHERS HARRIMAN & CO.
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 55
Date: 11/11/2008
Limited Representative-Equity Trader ExamCurrent Firm
JB DRAX HONORE' INC.
CRD#: 149957 / SEC#: , 8-68205
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JB HONORE' SARL | SOLE SHAREHOLDER | |
| GLASSBERG, JONATHAN WILLIAM | DIRECTOR, SECRETARY | 5655925 |
| GOMEZ, MARK JASON | MANAGER | 2865574 |
| HALLENBORG, RALPH ADOLPH JR | CHIEF OPERATING OFFICER; CHIEF COMPLIANCE OFFICER; OPTIONS PRINCIPAL; AMLCO | 2244804 |
| OBSBAUM, FREDRIC MICHAEL | FINOP, CFO | 1160811 |
| SHEPHERD, BENN | DIRECTOR | 4030489 |
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.
