Steven C. Braverman
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.
Steven Charles Braverman, who also goes by Steven C Braverman, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 8 firms and has passed the Series 63, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2011 - December 2, 2025
STEVEN CHARLES CAPITAL LTD
September 1, 2004 - November 27, 2012
ASHTON THOMAS SECURITIES, LLC
January 4, 1999 - September 10, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 24, 1986 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
September 30, 1985 - May 9, 1986
ADVEST, INC.
October 17, 1984 - September 30, 1985
BURGESS & LEITH INCORPORATED
January 13, 1981 - October 19, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 1980 - February 12, 1981
UBS FINANCIAL SERVICES 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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 8
Date: 11/11/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STEVEN CHARLES CAPITAL LTD
CRD#: 104814 / SEC#: 801-26716
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 125,000,000 |
Red Flags
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