Stephen B. Areman
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 Bruce Areman was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1971. Stephen had worked at 12 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2014 - April 4, 2018
FIRST INTEGRITY CAPITAL PARTNERS CORP.
August 12, 2004 - June 12, 2014
CAROLINA CAPITAL MARKETS, INC.
November 4, 2002 - August 10, 2004
ORMES CAPITAL MARKETS, INC.
October 23, 2002 - December 2, 2002
MAXIM GROUP LLC
June 28, 2001 - October 23, 2002
HAPOALIM SECURITIES USA, INC.
February 25, 1997 - June 27, 2001
HERZOG, HEINE, GEDULD, LLC
October 6, 1994 - March 13, 1997
ORMES CAPITAL MARKETS, INC.
July 2, 1992 - October 17, 1994
HERZOG, HEINE, GEDULD, LLC
September 21, 1982 - June 26, 1992
CIBC WORLD MARKETS CORP.
March 23, 1982 - September 29, 1982
TUCKER ANTHONY INCORPORATED
June 8, 1978 - January 19, 1982
LADENBURG THALMANN & CO. INC.
February 23, 1978 - June 22, 1978
KUHNS BROTHERS & LAIDLAW, INC.
June 13, 1972 - May 11, 1973
ADAMS & PECK
July 2, 1971 - August 20, 1974
RAND & CO., INC
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
PC
Date: 5/21/1977
AMEX Put and Call ExamSeries 1
Date: 6/28/1971
Registered Representative ExaminationCurrent Firm
FIRST INTEGRITY CAPITAL PARTNERS CORP.
CRD#: 146049 / SEC#: , 8-67778
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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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