Steven L. Carmen
Professional summary
Steven Lance Carmen is a registered financial professional currently at NC SECURITIES, LLC located in Easton, Maryland.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2008. Steven has worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Lance Carmen's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 24, 2023 - Present
NC SECURITIES, LLC
Office #1: 101 Marlboro Avenue Suite 53, Easton, MD 21601November 24, 2020 - November 9, 2022
LCG CAPITAL ADVISORS, LLC
April 25, 2018 - February 18, 2019
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
February 25, 2015 - March 14, 2016
CAPSTONE PARTNERS
August 16, 2012 - August 28, 2013
MORGAN STANLEY
June 25, 2012 - August 28, 2013
MORGAN STANLEY
September 15, 2010 - June 19, 2012
BNP PARIBAS SECURITIES CORP.
January 14, 2009 - August 6, 2010
HOULIHAN LOKEY ADVISORS, LLC
April 23, 2008 - January 9, 2009
NC SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/24/2023)
Exams
FINRA
Current Firm
NC SECURITIES, LLC
CRD#: 141074 / SEC#: , 8-67360
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
