Steven Amanullah

RBC CMA LTD

Stamford, CT 06901

Some features on this profile are disabled

CRD#: 6097193

Professional summary

Steven Amanullah is a registered financial professional currently at RBC CMA LTD located in Stamford, Connecticut.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2016. Steven has worked at 1 firm and has passed the Series 63, Series 99TO, Series 82TO, Series 22TO, Series 6TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Amanullah'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®

None

Experience

Current

August 12, 2016 - Present

RBC CMA LTD

Office #1: 1 Landmark Square Suite 1200, Stamford, CT 06901Office #2: 200 Vesey Street 14th Floor, New York, NY 10281

CRD#: 121263

Stamford, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(2/10/2022)

New York
(12/18/2021)

Exams

State Security Law Exam

Series 63

Date: 12/17/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 82TO

Date: 1/2/2023

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 22TO

Date: 1/2/2023

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/13/2025

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

RBC CMA LTD

RBC CAPITAL MARKETS ARBITRAGE, S.A. | RBC CMA LTD | RBC CMA LLC

CRD#: 121263 / SEC#: , 8-65401

Broker-Dealer Firm Regulated by FINRA (New York district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Walkers Corporate (bvi) Limited 171 Main Street, Po Box 92 Road Town, Tortola,, FOREIGN

Mailing Address

3 World Financial Center 200 Vesey Street - 14th Floor, New York, NY 10281

Phone number

(212) 858-7000

Established

Firm type

Limited Liability Company

Fiscal year end

October

Firm Size

Small

# of Employees

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ROYAL BANK HOLDING INC.	DIRECT OWNER
GRANNIS, JOHN	CHIEF OPERATING OFFICER	2934841
JASNOSZ, MICHAEL EDWARD	CHIEF COMPLIANCE OFFICER	4386029
JIANG, HE	PRINCIPAL OPERATIONS OFFICER	5107323
MANNING, THOMAS JAMES IV	PRESIDENT, CEO	5182531
PODYMA, LIDIA ANETA	PRINCIPAL FINANCIAL OFFICER	5764487
ROSENBAUM, DANIEL PHILIP	CHAIRMAN OF THE BOARD	2797995

Disclosures

Regulatory Event

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.

Similar Advisors

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Brian Marchini

LPL ENTERPRISE, LLC

IAR

White Plains, NY

Randy Brickman

PARK AVENUE SECURITIES LLC

IAR

NORTH WOODMERE, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven Amanullah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Amanullah's CRS (Customer Relationship Summary).

Certified licenses

Experience

State Registrations and Notice Filings

Exams

Series 63

Date: 12/17/2021

Series 99TO

Date: 1/2/2023

Series 82TO

Date: 1/2/2023

Series 22TO

Date: 1/2/2023

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2016

Series 24

Date: 1/13/2025

FINRA

Nasdaq Stock Market

Current Firm

RBC CMA LTD

Contact information

FINRA licenses (4 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

RBC CMA LTD

TRUST BUT VERIFY

Similar Advisors