Steven M. Flanders
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 Mark Flanders was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2010. Steven had worked at 3 firms and has passed the Series 66, SIE 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
June 3, 2015 - October 4, 2018
SUMMIT EQUITIES, INC.
May 28, 2015 - September 27, 2018
SUMMIT FINANCIAL RESOURCES INC
May 28, 2015 - October 4, 2018
SUMMIT EQUITIES, INC.
September 29, 2010 - June 2, 2015
PARK AVENUE SECURITIES LLC
August 9, 2010 - June 2, 2015
PARK AVENUE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SUMMIT EQUITIES, INC.
CRD#: 11039 / SEC#: 801-39162, 8-27556
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEISS, CRAIG BARRY | CHIEF COMPLIANCE OFFICER | 2354195 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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