Stephen J. Laperla
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 John Laperla was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 3, Series 15, Series 5 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
January 15, 2010 - June 16, 2017
NYPPEX, LLC
August 22, 2003 - November 12, 2007
J.P. MORGAN SECURITIES LLC
February 11, 2003 - August 20, 2003
NEWEDGE FINANCIAL INC.
June 25, 1999 - January 18, 2000
SOUTHPORT SECURITIES, LLC
June 29, 1998 - August 11, 1998
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
September 11, 1996 - September 2, 1997
SBC WARBURG, INC.
July 9, 1991 - July 22, 1996
NATWEST MARKETS SECURITIES INC.
March 29, 1990 - June 21, 1991
CITIGROUP GLOBAL MARKETS INC.
December 19, 1980 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
January 15, 1980 - November 7, 1980
CLAYTON BROKERAGE CO. OF ST. LOUIS, 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
Series 15
Date: 1/26/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/20/1981
Interest Rate Options ExaminationSeries 1
Date: 1/15/1980
Registered Representative ExaminationCurrent Firm
NYPPEX, LLC
CRD#: 47654 / SEC#: , 8-51849
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 10 |
| Civil Event | 4 |
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.
