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SL

Stephen J. Latkovic

CANDLEWOOD SECURITIES
Cleveland, OH 44114
Some features on this profile are disabled
CRD#: 5554842
SL

Professional summary

Stephen Joseph Latkovic is a registered financial professional currently at CANDLEWOOD SECURITIES, LLC located in Cleveland, Ohio.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2008. Stephen has worked at 3 firms and has passed the Series 63, SIE, Series 79, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Joseph Latkovic's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 5, 2012 - Present

CANDLEWOOD SECURITIES, LLC

Office #1: 600 Superior Ave. E, Suite 1800, Cleveland, OH 44114
BD
CRD#: 126042
Cleveland, OH
Past

August 13, 2009 - August 25, 2009

GRUBB & ELLIS SECURITIES, INC.

BD
CRD#: 17932
CLEVELAND, OH
Past

July 31, 2008 - January 20, 2009

P & M CORPORATE FINANCE, LLC

BD
CRD#: 129624
CLEVELAND, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/10/2015)
RR
Connecticut
(10/7/2016)
RR
Florida
(3/19/2014)
RR
Illinois
(11/7/2017)
RR
Massachusetts
(3/10/2014)
RR
Michigan
(3/20/2014)
RR
Nevada
(8/9/2024)
RR
New York
(3/11/2014)
RR
Ohio
(9/5/2012)
RR
Pennsylvania
(9/22/2017)
RR
Tennessee
(8/4/2023)
RR
Virginia
(10/23/2018)
RR
Washington
(10/4/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 9/27/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 9/4/2012
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 7/30/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/1/2014
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CANDLEWOOD SECURITIES, LLC
CANDLEWOOD SECURITIES, LLC

CRD#: 126042 / SEC#: , 8-65845

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
600 Superior Ave. E, Suite 1800, Cleveland, OH 44114
Mailing Address
600 Superior Ave. E, Suite 1800, Cleveland, OH 44114
Phone number
(216) 472-6660
Established
Ohio since 09/09/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (18 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CANDLEWOOD HOLDINGS LLCLLC OWNER
DIJOHN, ANTHONY JOHNFINOP6370306
HOFFMAN, MATTHEW THOMASCHIEF COMPLIANCE OFFICER1144872
LATKOVIC, STEPHEN JOSEPHCEO5554842
POLLACK, GLENN CRAIGMANAGING MEMBER / DIRECTOR3155575

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.

Company Information

CANDLEWOOD SECURITIES, LLC

CRD#: 126042Cleveland, OH 44114

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