Steven C. Quoy

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CRD#: 713992

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 Chin Quoy was a registered financial advisor .

Steven is a previously registered financial advisor and started their career in finance in 1980. Steven had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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

April 2, 2013 - December 31, 2017

SPENCER EDWARDS, INC.

CRD#: 22067

CENTENNIAL, CO

Past

July 27, 2010 - May 5, 2011

GVC CAPITAL LLC

CRD#: 38923

GREENWOOD VILLAGE, CO

Past

January 4, 2007 - August 8, 2008

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

GREENWOOD VILLAGE, CO

Past

August 4, 2003 - November 15, 2006

AGGRESSOR FUND ADVISERS, INC.

RIA

CRD#: 126786

DENVER, CO

Past

January 2, 2003 - December 31, 2006

GVC CAPITAL LLC

CRD#: 38923

GREENWOOD VILLAGE, CO

Past

April 26, 2002 - January 2, 2003

SANDS BROTHERS & CO., LTD.

CRD#: 26816

NEW YORK, NY

Past

December 7, 1998 - March 26, 2002

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

ENGLEWOOD, CO

Past

August 10, 1984 - December 4, 1998

AMERICAN FRONTEER FINANCIAL CORPORATION

CRD#: 1398

DENVER, CO

Past

September 3, 1981 - August 14, 1984

B. J. LEONARD AND COMPANY, INC.

CRD#: 62

Past

December 2, 1980 - August 24, 1981

FIRST COLORADO INVESTMENTS & SECURITIES, INC.

CRD#: 6929

Past

August 19, 1980 - October 21, 1983

AMERICAN WESTERN SECURITIES, INC.

CRD#: 7619

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

IAR

Series 65

Date: 12/9/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/24/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 8/16/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/27/1985

General Securities Principal Examination

Current Firm

SPENCER EDWARDS, INC.

EMERALD SECURITIES, INC. | WORLD SECURITIES CORPORATION | SPENCER EDWARDS, INC.

CRD#: 22067 / SEC#: , 8-39511

Terminated by SEC on 03/01/2019

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Contact information

Main Address

Mailing Address

Phone number

Established

Colorado since 10/22/1987

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
PRIMARC HOLDING CORP.	PARENT COMPANY
FLEMMING, DONNA JEAN	CHIEF FINANCIAL OFFICER/FINOP	1791388
FLEMMING, DONNA JEAN	PRESIDENT, CHIEF EXECUTIVE OFFICER	1791388
KASZYCKI, JOHN EDWARD	CHIEF COMPLIANCE OFFICER	264844
RICHARDSON, THOMAS CRAIG	MANAGER OF TRADING	867402

Disclosures

Regulatory Event	18
Arbitration	2

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.

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Advisor Monitoring

Firm Stability Insights

Steven C. Quoy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GVC CAPITAL LLC

J.P. TURNER & COMPANY, L.L.C.

AGGRESSOR FUND ADVISERS, INC.

GVC CAPITAL LLC

SANDS BROTHERS & CO., LTD.

GLOBAL CAPITAL SECURITIES CORPORATION

AMERICAN FRONTEER FINANCIAL CORPORATION

B. J. LEONARD AND COMPANY, INC.

FIRST COLORADO INVESTMENTS & SECURITIES, INC.

AMERICAN WESTERN SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/9/1999

Series 63

Date: 10/8/1980

SIE

Date: 12/31/2017

Series 55

Date: 4/24/2000

Series 7

Date: 8/16/1980

Series 24

Date: 3/27/1985

Current Firm

SPENCER EDWARDS, INC.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SPENCER EDWARDS, INC.

TRUST BUT VERIFY

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