SA
Steve Adibi
ERNST & YOUNG CAPITAL ADVISORS
Houston, TX 77010
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CRD#: 6180908
SA
Professional summary
Steve Adibi is a registered financial professional currently at ERNST & YOUNG CAPITAL ADVISORS, LLC located in Houston, Texas.
Steve is registered as a RR (Registered Representative) and started their career in finance in 2013. Steve has worked at 1 firm and has passed the Series 63, SIE, Series 62 and Series 79 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 Steve Adibi'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
June 20, 2013 - Present
ERNST & YOUNG CAPITAL ADVISORS, LLC
Office #1: 1401 Mckinney Street Suite 1200, Houston, TX 77010BD
CRD#: 152514
Houston, TX
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(8/20/2014)
RR
Arizona(8/7/2017)
RR
Arkansas(10/23/2017)
RR
California(8/20/2014)
RR
Colorado(8/20/2014)
RR
Connecticut(8/20/2014)
RR
District of Columbia(8/20/2014)
RR
Florida(8/20/2014)
RR
Georgia(9/30/2014)
RR
Illinois(8/20/2014)
RR
Indiana(8/20/2014)
RR
Iowa(10/23/2017)
RR
Kansas(8/20/2014)
RR
Kentucky(9/30/2014)
RR
Louisiana(8/20/2014)
RR
Maryland(9/30/2014)
RR
Massachusetts(8/20/2014)
RR
Michigan(8/20/2014)
RR
Minnesota(8/20/2014)
RR
Mississippi(9/30/2014)
RR
Missouri(9/30/2014)
RR
Nebraska(3/17/2015)
RR
Nevada(4/8/2020)
RR
New Hampshire(9/30/2014)
RR
New Jersey(8/15/2014)
RR
New Mexico(8/7/2017)
RR
New York(8/15/2014)
RR
North Carolina(8/21/2014)
RR
North Dakota(8/20/2014)
RR
Ohio(8/20/2014)
RR
Oklahoma(8/20/2014)
RR
Oregon(8/7/2017)
RR
Pennsylvania(8/20/2014)
RR
South Carolina(11/3/2017)
RR
South Dakota(10/26/2022)
RR
Texas(7/15/2013)
RR
Utah(8/20/2014)
RR
Virginia(8/20/2014)
RR
Washington(11/14/2016)
RR
West Virginia(11/14/2016)
RR
Wisconsin(8/20/2014)
RR
Wyoming(11/14/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 8/11/2014
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
E&
ERNST & YOUNG CAPITAL ADVISORS, LLC
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514 / SEC#: , 8-68461
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
One Manhattan West, New York, NY 10001
Mailing Address
One Manhattan West, New York, NY 10001
Phone number
(212) 773-3000
Established
Delaware since 11/06/2009
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ERNST & YOUNG CAPITAL ADVISORS, LLC
CRD#: 152514Houston, TX 77010TRUST BUT VERIFY
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