Stephen W. Zoghby
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stephen William Zoghby, who also goes by Stephen W Zoghby, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2016. Stephen had worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2020 - December 13, 2021
GLOBAL SHARES FINANCIAL SERVICES INC.
March 22, 2018 - July 9, 2020
UBS FINANCIAL SERVICES INC.
March 22, 2018 - July 9, 2020
UBS FINANCIAL SERVICES INC.
September 12, 2016 - February 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 29, 2016 - February 12, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/3/2022
General Securities Representative ExaminationCurrent Firm
GLOBAL SHARES FINANCIAL SERVICES INC.
CRD#: 284031 / SEC#: , 8-69780
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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