Steven A. Witt
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 Alan Witt, who also goes by Steven A Witt, Steven Alan Witt, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2009. Steven had worked at 5 firms and has passed the Series 66, 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
June 7, 2019 - December 14, 2020
STEVEN ALAN CAPITAL LLC
July 29, 2016 - March 4, 2019
OSAIC ADVISORY SERVICES, LLC
July 29, 2016 - March 4, 2019
TRIAD ADVISORS LLC
February 2, 2012 - August 2, 2016
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2012 - August 2, 2016
WELLS FARGO CLEARING SERVICES, LLC
October 12, 2009 - December 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 8, 2009 - December 1, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
STEVEN ALAN CAPITAL LLC
CRD#: 302089 / SEC#:
Contact information
Red Flags
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