JS
Jason J. Steffen
TASTYTRADE
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 5982325
JS
Professional summary
Jason John Steffen, who also goes by Jj Steffen, is a registered financial professional currently at TASTYTRADE, INC. located in Chicago, Illinois.
Jason is registered as a RR (Registered Representative) and started their career in finance in 2011. Jason has worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jj Steffen
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.
CRS (Client Relationship Summary) - BD
Click below to view Jason John Steffen's 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®
NoneExperience
Current
December 27, 2016 - Present
TASTYTRADE, INC.
Office #1: 1330 W. Fulton Street Suite 600, Chicago, IL 60607BD
CRD#: 277027
Chicago, IL
Past
September 21, 2015 - October 8, 2015
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
CHICAGO, IL
Past
May 9, 2012 - September 19, 2013
SII INVESTMENTS, INC.
BD
CRD#: 2225
APPLETON, WI
Past
May 9, 2012 - September 19, 2013
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
May 9, 2012 - September 19, 2013
INVESTMENT CENTERS OF AMERICA, INC.
BD
CRD#: 16443
APPLETON, WI
Past
November 3, 2011 - May 14, 2012
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
MARSHFIELD, WI
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
Alabama(1/9/2017)
RR
Alaska(1/4/2017)
RR
Arizona(1/3/2017)
RR
Arkansas(1/3/2017)
RR
California(1/3/2017)
RR
Colorado(1/3/2017)
RR
Connecticut(1/3/2017)
RR
Delaware(1/4/2017)
RR
District of Columbia(1/4/2017)
RR
Florida(1/19/2017)
RR
Georgia(1/3/2017)
RR
Hawaii(1/19/2017)
RR
Idaho(1/3/2017)
RR
Illinois(12/27/2016)
RR
Indiana(1/3/2017)
RR
Iowa(1/3/2017)
RR
Kansas(1/3/2017)
RR
Kentucky(1/3/2017)
RR
Louisiana(1/3/2017)
RR
Maine(1/6/2017)
RR
Maryland(1/10/2017)
RR
Massachusetts(1/10/2017)
RR
Michigan(1/4/2017)
RR
Minnesota(1/3/2017)
RR
Mississippi(1/3/2017)
RR
Missouri(1/6/2017)
RR
Montana(1/3/2017)
RR
Nebraska(1/13/2017)
RR
Nevada(1/3/2017)
RR
New Hampshire(1/20/2017)
RR
New Jersey(1/12/2017)
RR
New Mexico(1/12/2017)
RR
New York(1/3/2017)
RR
North Carolina(1/3/2017)
RR
North Dakota(1/27/2017)
RR
Ohio(1/3/2017)
RR
Oklahoma(1/3/2017)
RR
Oregon(1/4/2017)
RR
Pennsylvania(1/3/2017)
RR
Puerto Rico(1/4/2017)
RR
Rhode Island(1/3/2017)
RR
South Carolina(1/5/2017)
RR
South Dakota(1/3/2017)
RR
Tennessee(1/6/2017)
RR
Texas(1/6/2017)
RR
Utah(1/3/2017)
RR
Vermont(1/9/2017)
RR
Virgin Islands(1/11/2017)
RR
Virginia(1/3/2017)
RR
Washington(1/3/2017)
RR
West Virginia(1/9/2017)
RR
Wisconsin(1/9/2017)
RR
Wyoming(1/3/2017)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TASTYTRADE, INC.
TASTYTRADE, INC. | TASTYWORKS, INC.
CRD#: 277027 / SEC#: , 8-69649
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1330 West Fulton Street Suite 600, Chicago, IL 60607
Mailing Address
1330 West Fulton Street Suite 600, Chicago, IL 60607
Phone number
(312) 724-7075
Established
Delaware since 06/22/2015
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TASTYLIVE, INC. | OWNER | |
| ADLER, KERRY ANN PATRICIA | INTERIM CHIEF COMPLIANCE OFFICER | 3269947 |
| BRASIL DE OLIVEIRA, LUIS FERNANDO | CHIEF OPERATING OFFICER | 5652832 |
| CHIOU, JASON | HEAD OF CLIENT BROKERAGE SERVICES | 6757512 |
| GRACE, CHRISTOPHER WILLIAM | HEAD OF BROKERAGE TRADING OPERATIONS | 5985000 |
| MONTERRUBIO, DAMON | AML COMPLIANCE OFFICER | 5565532 |
| SLOAN, JACQUELINE LEE | FINOP | 2717305 |
Disclosures
| Regulatory Event | 1 |
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.
