Steven C. Costa
Professional summary
Steven Christos Costa was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1970. Prior to being barred, Steven had worked at 4 firms, which includes S. C. COSTA COMPANY INC., FIRST STATE FINANCIAL INC., FITZGERALD DEARMAN & ROBERTS INC., BUSINESS EQUITIES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 1976 - March 25, 1997
S. C. COSTA COMPANY, INC.
November 5, 1974 - December 24, 1975
FIRST STATE FINANCIAL, INC.
January 27, 1971 - December 11, 1974
FITZGERALD, DEARMAN & ROBERTS, INC.
September 8, 1970 - November 17, 1972
BUSINESS EQUITIES INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 4/20/1970
Registered Representative ExaminationF04
Date: 6/27/1978
Financial Principal ExaminationSeries 40
Date: 1/19/1976
Registered Principal ExaminationCurrent Firm
S. C. COSTA COMPANY, INC.
CRD#: 7044 / SEC#: , 8-20326
Contact information
Documents
Red Flags
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