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SR

Stephen Rubio

Some features on this profile are disabled
CRD#: 6850163
SR

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 Rubio was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2017. Stephen had worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 11, 2022 - October 26, 2023

OASIS PRO MARKETS LLC

BD
CRD#: 149420
STAMFORD, CT
Past

October 20, 2017 - July 3, 2018

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108928
San Francisco, CA
Past

September 27, 2017 - July 3, 2018

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/20/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/11/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/3/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2017
General Securities Representative Examination

Current Firm

OP
OASIS PRO MARKETS LLC
LAVECCHIA CAPITAL LLC | OASIS PRO MARKETS LLC

CRD#: 149420 / SEC#: , 8-68164

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
43 Harbor Drive Unit 206, Stamford, CT 06902
Mailing Address
43 Harbor Drive Unit 206, Stamford, CT 06820
Phone number
(203) 247-6700
Established
Delaware since 02/09/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ONDO FINANCE CORPORATIONOWNER
LAVECCHIA, PASQUALE MARIOCHIEF EXECUTIVE OFFICER / MANAGING MEMBER2403011
YOSTPILLE, ROBERT GCHIEF COMPLIANCE OFFICER AND CHIEF FINANCIAL OFFICER4822760

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.

Company Information

OASIS PRO MARKETS LLC

CRD#: 149420

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