Steven N. Scagliola
Professional summary
Steven Natale Scagliola, who also goes by Steve Scagliola, Steven Scagliola, is a registered financial professional currently at BNY MELLON CAPITAL MARKETS, LLC located in New York, New York.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2009. Steven has worked at 5 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Natale Scagliola's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2021 - Present
BNY MELLON CAPITAL MARKETS, LLC
Office #1: 240 Greenwich Street, New York, NY 10286June 5, 2017 - July 8, 2021
SANTANDER US CAPITAL MARKETS LLC
September 2, 2015 - May 23, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 2014 - August 13, 2015
JEFFERIES LLC
June 10, 2009 - September 5, 2014
BARCLAYS CAPITAL INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/15/2021)
Exams
Series 52TO
Date: 6/23/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Nasdaq Stock Market
Current Firm
BNY MELLON CAPITAL MARKETS, LLC
CRD#: 17454 / SEC#: , 8-35255
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BNY CAPITAL MARKETS HOLDINGS, INC. | SOLE SHAREHOLDER | |
| BARYSH, ROBERT PHILIP | CHIEF OPERATIONS OFFICER (COO), PRINCIPAL OPERATIONS OFFICER | 2800329 |
| DUFFANY, STEPHEN JOHN | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2535640 |
| GOODHEART, JOHN | BOARD OF MANAGERS | 2419623 |
| HIGGINS, ALISON MATTHESEN | BOARD OF MANAGERS, CHIEF COMPLIANCE OFFICER (CCO) | 6718782 |
| KLINGER, DANIEL ADAM | BOARD OF MANAGERS | 2983871 |
| LYNCH, ROBERT E | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 2981333 |
| MCCORMICK, JEFFREY | BOARD OF MANAGERS | 5261504 |
| SKOKO, DRAGAN | BOARD OF MANAGERS, CO-CHIEF EXECUTIVE OFFICER (CO-CEO) | 4394961 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 1 |
Red Flags
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