Steven J. Rumchik
Professional summary
Steven John Rumchik, who also goes by Steve Rumchik, is a registered financial professional currently at CAPITAL MANAGEMENT SECURITIES, INC. located in Harris, Minnesota.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1980. Steven has worked at 6 firms and has passed the Series 63, Series 6TO, SIE, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven John Rumchik's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 27, 2002 - Present
CAPITAL MANAGEMENT SECURITIES, INC.
January 3, 1995 - November 27, 2002
CADARET, GRANT & CO., INC.
August 7, 1985 - December 31, 1994
KEOGLER, MORGAN & COMPANY, INC.
July 11, 1983 - August 19, 1985
FSC SECURITIES CORPORATION
March 14, 1983 - July 7, 1983
ENTERPRISE FUND DISTRIBUTORS, INC.
September 11, 1980 - April 15, 1983
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/2/2016)
(11/27/2002)
(2/13/2019)
(4/3/2012)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/28/1980
Registered Representative ExaminationFINRA
Current Firm
CAPITAL MANAGEMENT SECURITIES, INC.
CRD#: 10579 / SEC#: , 8-27779
Contact information
FINRA licenses (18 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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