SS
Stephen F. Siciliano
THOMA BRAVO CAPITAL MARKETS
New York, NY 10152
Some features on this profile are disabled
CRD#: 6223855
SS
Professional summary
Stephen Frederick Siciliano, who also goes by Steve Siciliano, is a registered financial professional currently at THOMA BRAVO CAPITAL MARKETS, LLC located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2013. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 30 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Siciliano
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 Stephen Frederick Siciliano'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
February 5, 2026 - Present
THOMA BRAVO CAPITAL MARKETS, LLC
Office #1: 375 Park Avenue Suite 3603, New York, NY 10152BD
CRD#: 311317
New York, NY
Past
December 22, 2021 - January 15, 2026
BROOKFIELD PRIVATE WEALTH LLC
BD
CRD#: 313390
New York, NY
Past
March 11, 2021 - December 22, 2021
BROOKFIELD PRIVATE ADVISORS LLC
BD
CRD#: 151423
New York, NY
Past
June 19, 2018 - December 22, 2021
INDEPENDENT BROKERAGE SOLUTIONS LLC
BD
CRD#: 153563
NEW YORK, NY
Past
January 5, 2015 - May 22, 2015
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
September 6, 2013 - November 24, 2021
OCM INVESTMENTS, LLC
BD
CRD#: 128803
NEW YORK, NY
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(2/5/2026)
RR
Alaska(2/5/2026)
RR
Arizona(2/5/2026)
RR
Arkansas(2/5/2026)
RR
California(2/5/2026)
RR
Colorado(2/5/2026)
RR
Connecticut(2/5/2026)
RR
Delaware(2/5/2026)
RR
District of Columbia(2/5/2026)
RR
Florida(2/5/2026)
RR
Georgia(2/5/2026)
RR
Hawaii(2/5/2026)
RR
Idaho(2/5/2026)
RR
Illinois(2/5/2026)
RR
Indiana(2/5/2026)
RR
Iowa(2/5/2026)
RR
Kansas(2/5/2026)
RR
Kentucky(2/5/2026)
RR
Louisiana(2/5/2026)
RR
Maine(2/5/2026)
RR
Maryland(2/5/2026)
RR
Massachusetts(2/5/2026)
RR
Michigan(2/5/2026)
RR
Minnesota(2/5/2026)
RR
Mississippi(2/5/2026)
RR
Missouri(2/5/2026)
RR
Montana(2/5/2026)
RR
Nebraska(2/5/2026)
RR
Nevada(2/5/2026)
RR
New Hampshire(2/5/2026)
RR
New Jersey(2/5/2026)
RR
New Mexico(2/5/2026)
RR
New York(2/5/2026)
RR
North Carolina(2/9/2026)
RR
North Dakota(2/5/2026)
RR
Ohio(2/5/2026)
RR
Oklahoma(2/5/2026)
RR
Oregon(2/5/2026)
RR
Pennsylvania(2/5/2026)
RR
Puerto Rico(2/5/2026)
RR
Rhode Island(2/5/2026)
RR
South Carolina(2/5/2026)
RR
South Dakota(2/5/2026)
RR
Tennessee(2/5/2026)
RR
Texas(2/5/2026)
RR
Utah(2/5/2026)
RR
Vermont(2/5/2026)
RR
Virgin Islands(2/5/2026)
RR
Virginia(2/5/2026)
RR
Washington(2/5/2026)
RR
West Virginia(2/5/2026)
RR
Wisconsin(2/5/2026)
RR
Wyoming(2/5/2026)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TB
THOMA BRAVO CAPITAL MARKETS, LLC
THOMA BRAVO CAPITAL MARKETS, LLC
CRD#: 311317 / SEC#: , 8-70612
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Mailing Address
110 North Wacker Drive 32nd Floor, Chicago, IL 60606-1511
Phone number
(312) 254-3300
Established
Delaware since 09/21/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THOMA BRAVO ADVISERS, L.P. | MEMBER | |
| ALPER, JENNIFER JAMES | PRINCIPAL, INVESTOR RELATIONS & MARKETING | 7309562 |
| KRZAK, ALEXANDER JACOB | PRINCIAL OPERATIONS OFFICER | 6349160 |
| MOCK, ERWIN HECTOR | PRINCIPAL, HEAD OF CAPITAL MARKETS | 4236454 |
| PORTNOFF, DAVID ROSS | FIN OP, PRINCIPAL FINANCIAL OFFICER | 2977967 |
| SCHWAB, STEVEN ANTHONY | SENIOR DIRECTOR, DEPUTY GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER | 4589027 |
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.
