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Stephen F. Etna

BDA ADVISORS
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 6957760
SE

Professional summary

Stephen Fleming Etna is a registered financial professional currently at BDA ADVISORS INC. located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2018. Stephen has worked at 1 firm and has passed the Series 63, SIE and Series 79 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) - BD

Click below to view Stephen Fleming Etna'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®
None

Experience

Current

August 20, 2018 - Present

BDA ADVISORS INC.

Office #1: 1270 Avenue Of The Americas, Suite 2901, New York, NY 10020Office #2: 1270 Avenue Of The Americas, Suite 2901, New York, NY 10020
BD
CRD#: 161730
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
New York
(9/25/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 9/25/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/20/2018
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BA
BDA ADVISORS INC.
BDA ADVISORS INC.

CRD#: 161730 / SEC#: , 8-69049

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

Main Address
1270 Avenue Of The Americas, Suite 2901, New York, NY 10020
Mailing Address
1270 Avenue Of The Americas, Suite 2901, New York, NY 10020
Phone number
(212) 265-5300
Established
New York since 04/20/2011
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BDA PARTNERS LIMITEDSOLE SHAREHOLDER
DIGIACOMO, PAULDIRECTOR7775002
HUNTLEY, ANDREW DAVIDDIRECTOR7391771
PULLANO, WILLIAM ROSSFINOP, PFO, POO
RELLIE, EUAN NICHOLAS CLIVEPRESIDENT, CCO, AML CO, GSP (10/2012) AND DIRECTOR

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

BDA ADVISORS INC.

CRD#: 161730New York, NY 10020

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