Stephen T. Freitas
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.
Stephen Thomas Freitas, who also goes by Steve Freitas, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2011. Stephen had worked at 1 firm and has passed the Series 63 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - February 21, 2014
SFI CAPITAL GROUP, 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
Exams
Current Firm
SFI CAPITAL GROUP, LLC
CRD#: 141979 / SEC#: , 8-67421
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ACHILL BD, LLC | DIRECT OWNER | |
| DORSEY, JOHN WILLIAM | CEO, PRESIDENT, CCO, AMLCO, EXECUTIVE REPRESENTATIVE | 2409227 |
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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