Steven D. Bustamante
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 David Bustamante was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2009. Steven had worked at 6 firms and has passed the Series 65, Series 66 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
August 19, 2022 - January 16, 2024
SPECTRA CAPITAL LLC
January 11, 2016 - December 31, 2016
BUSTAMANTE & CO. LLC
July 16, 2014 - December 2, 2014
ROBOTIC TRADING ADVISORS, LLC
August 23, 2013 - June 19, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 23, 2013 - June 19, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2013 - June 6, 2013
EQUITABLE ADVISORS, LLC
November 19, 2009 - January 22, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
State Registrations and Notice Filings
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Exams
Current Firm
SPECTRA CAPITAL LLC
CRD#: 317805 / SEC#:
Contact information
Red Flags
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