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TR

Theodore Stefan Rounds

DEALMAKER SECURITIES

Los Angeles, CA

·CRD# 6617355·6 years experience

Professional Summary

Theodore Stefan Rounds, who also goes by Teddy Stefan Rounds, is a registered financial advisor currently at DEALMAKER SECURITIES located in Los Angeles, California. Theodore is registered as a RR (Registered Representative) and started their career in finance in 2020. Theodore has worked at 3 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Teddy Stefan Rounds

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

6 years in the financial services industry

Current & Past Employments

DEALMAKER SECURITIES·CRD# 315324

BD

3321 La Cienega Pl, Los Angeles, CA 90016

October 13, 2026 - Present

ENERGY SHARES, LLC.·CRD# 314540

BD

Pasadena, CA

January 20, 2023 - January 6, 2025

STARTENGINE PRIMARY LLC·CRD# 291773

BD

Burbank, CA

March 16, 2020 - October 31, 2022

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Current Firm

DS

DEALMAKER SECURITIES

DEALMAKER SECURITIES | DEALMAKER SECURITIES LLC

CRD#: 315324 / SEC#: 8-70756

BD

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

Contact Information

Main Address

30 East 23rd Street 2nd Floor, New York, NY 10010

Mailing Address

30 East 23rd Street 2nd Floor, New York, NY 10010

Phone Number

(855) 852-4561

Established

Delaware since 05/05/2021

Firm Type

Limited Liability Company

Fiscal Year End

March

Firm Size

Small

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NOVATION SOLUTIONS USA, INC.	MEMBER	—
GOLDSTEIN, MATHEW OLIVER	CEO AND TREASURER	7411773
HOCHBERG, ADAM	AMLCO	7522699
MARTINS, MARIO CHRISTOPHER JR.	CCO	7497981
SELF, JONATHAN ANDREW	MANAGING DIRECTOR, CFO/FINOP, POO/PFO	4497531

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Alabama
(10/13/2026)

RR

Alaska
(10/13/2026)

RR

Arizona
(10/13/2026)

RR

Arkansas
(10/13/2026)

RR

California
(10/13/2026)

RR

Colorado
(10/13/2026)

RR

Connecticut
(10/13/2026)

RR

Delaware
(10/13/2026)

RR

District of Columbia
(10/13/2026)

RR

Florida
(10/13/2026)

RR

Georgia
(10/13/2026)

RR

Hawaii
(10/13/2026)

RR

Idaho
(10/13/2026)

RR

Illinois
(10/13/2026)

RR

Indiana
(10/13/2026)

RR

Iowa
(10/13/2026)

RR

Kansas
(10/13/2026)

RR

Kentucky
(10/13/2026)

RR

Louisiana
(10/13/2026)

RR

Maine
(10/13/2026)

RR

Maryland
(10/13/2026)

RR

Massachusetts
(10/13/2026)

RR

Michigan
(10/13/2026)

RR

Minnesota
(10/13/2026)

RR

Mississippi
(10/13/2026)

RR

Missouri
(10/13/2026)

RR

Montana
(10/13/2026)

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Nebraska
(10/13/2026)

RR

Nevada
(10/13/2026)

RR

New Hampshire
(10/13/2026)

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New Jersey
(10/13/2026)

RR

New Mexico
(10/13/2026)

RR

New York
(10/13/2026)

RR

North Carolina
(10/13/2026)

RR

North Dakota
(10/13/2026)

RR

Ohio
(10/13/2026)

RR

Oklahoma
(10/13/2026)

RR

Oregon
(10/13/2026)

RR

Pennsylvania
(10/13/2026)

RR

Puerto Rico
(10/13/2026)

RR

Rhode Island
(10/13/2026)

RR

South Carolina
(10/13/2026)

RR

South Dakota
(10/13/2026)

RR

Tennessee
(10/13/2026)

RR

Texas
(10/13/2026)

RR

Utah
(10/13/2026)

RR

Vermont
(10/13/2026)

RR

Virgin Islands
(10/13/2026)

RR

Virginia
(10/13/2026)

RR

Washington
(10/13/2026)

RR

West Virginia
(10/13/2026)

RR

Wisconsin
(10/13/2026)

RR

Wyoming
(10/13/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2020About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Mar 2021About the Series 79TO exam

Series 7TO — General Securities Representative Examination

Passed Mar 2020About the Series 7TO exam

SIE — Securities Industry Essentials Examination

Passed Dec 2019About the SIE exam

Series 24 — General Securities Principal Examination

Passed Aug 2021About the Series 24 exam

FINRA

SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Theodore Stefan Rounds's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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TR

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