Stephen J. Riffice
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 Joseph Riffice was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2013. Stephen had worked at 2 firms and has passed the Series 57TO, SIE, Series 7 and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2021 - May 1, 2024
AKUNA SECURITIES LLC
January 11, 2013 - November 11, 2020
IMC FINANCIAL MARKETS
State Registrations and Notice Filings
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Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 1/10/2013
Proprietary Trader Qualification ExaminationCurrent Firm
AKUNA SECURITIES LLC
CRD#: 159041 / SEC#: , 8-68957
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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