SM
Steven G. Mcgowan
REDI GLOBAL TECHNOLOGIES LLC
Chicago, IL 60606
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CRD#: 6129397
SM
Professional summary
Steven G Mcgowan, CFP® is a registered financial professional currently at REDI GLOBAL TECHNOLOGIES LLC located in Chicago, Illinois.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2012. Steven has worked at 5 firms and has passed the Series 66, SIE, Series 57 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Steven G Mcgowan'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®
Experience
Current
November 3, 2020 - Present
REDI GLOBAL TECHNOLOGIES LLC
Office #1: 311 S. Wacker Drive, Suite 1200, Chicago, IL 60606BD
CRD#: 41924
Chicago, IL
Past
March 16, 2020 - August 25, 2020
303 ALTERNATIVES, LLC
BD
CRD#: 166675
CHICAGO, IL
Past
December 2, 2013 - January 3, 2020
CANTOR FITZGERALD & CO.
BD
CRD#: 134
CHICAGO, IL
Past
September 6, 2013 - November 29, 2013
ENVESTNET PMC
RIA
CRD#: 111694
CHICAGO, IL
Past
December 12, 2012 - November 29, 2013
PORTFOLIO BROKERAGE SERVICES, INC.
BD
CRD#: 18554
CHICAGO, IL
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(11/3/2020)
RR
Alaska(11/3/2020)
RR
Arizona(11/3/2020)
RR
Arkansas(11/3/2020)
RR
California(11/3/2020)
RR
Colorado(11/3/2020)
RR
Connecticut(11/3/2020)
RR
Delaware(11/3/2020)
RR
District of Columbia(11/3/2020)
RR
Florida(11/3/2020)
RR
Georgia(11/3/2020)
RR
Hawaii(11/3/2020)
RR
Idaho(11/3/2020)
RR
Illinois(11/3/2020)
RR
Indiana(11/3/2020)
RR
Iowa(11/3/2020)
RR
Kansas(11/3/2020)
RR
Kentucky(11/3/2020)
RR
Louisiana(11/3/2020)
RR
Maine(11/3/2020)
RR
Maryland(11/3/2020)
RR
Massachusetts(11/3/2020)
RR
Michigan(11/3/2020)
RR
Minnesota(11/3/2020)
RR
Mississippi(11/3/2020)
RR
Missouri(11/3/2020)
RR
Montana(11/3/2020)
RR
Nebraska(11/3/2020)
RR
Nevada(11/3/2020)
RR
New Hampshire(11/3/2020)
RR
New Jersey(11/3/2020)
RR
New Mexico(11/3/2020)
RR
New York(11/3/2020)
RR
North Carolina(11/3/2020)
RR
North Dakota(11/3/2020)
RR
Ohio(11/10/2020)
RR
Oklahoma(11/3/2020)
RR
Oregon(11/3/2020)
RR
Pennsylvania(11/3/2020)
RR
Puerto Rico(11/3/2020)
RR
Rhode Island(11/3/2020)
RR
South Carolina(11/3/2020)
RR
South Dakota(11/3/2020)
RR
Tennessee(11/3/2020)
RR
Texas(11/3/2020)
RR
Utah(11/3/2020)
RR
Vermont(11/3/2020)
RR
Virgin Islands(11/3/2020)
RR
Virginia(11/3/2020)
RR
Washington(11/3/2020)
RR
West Virginia(11/3/2020)
RR
Wisconsin(11/3/2020)
RR
Wyoming(11/3/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RG
REDI GLOBAL TECHNOLOGIES LLC
REDI GLOBAL TECHNOLOGIES LLC | SPEAR, LEEDS & KELLOGG SPECIALISTS LLC
CRD#: 41924 / SEC#: , 8-49673
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
28 Liberty Street 58th Floor, New York, NY, 10005
Mailing Address
28 Liberty Street 58th Floor Attn Mmaloney, New York, NY, 10005
Phone number
(646) 794-7364
Established
New York since 09/13/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| REFINITIV US LLC | OWNER | |
| BALTOVSKI, ALEXANDER NMN | FINANCIAL AND OPERATIONS PRINCIPAL, PFO, POO | 2350828 |
| CUTLER, SETH | DIRECTOR | 2594208 |
| IAMSCICOV WEIGL, KATARINA | CHIEF COMPLIANCE OFFICER AND SECRETARY | 7893210 |
| MALONEY, MICHAEL G | DIRECTOR, CEO, MANAGING PRINCIPAL | 5728423 |
| SIBLEY, JOHN HOLDEN | DIRECTOR | 5781488 |
Disclosures
| Regulatory Event | 7 |
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.
