Steven C. Signer
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 Signer 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, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2007 - November 6, 2007
SPENCER EDWARDS, INC.
August 5, 2003 - November 15, 2006
AGGRESSOR FUND ADVISERS, INC.
January 7, 2003 - July 20, 2007
GVC CAPITAL LLC
April 11, 2002 - January 2, 2003
SANDS BROTHERS & CO., LTD.
August 21, 1992 - March 26, 2002
GLOBAL CAPITAL SECURITIES CORPORATION
July 17, 1985 - August 30, 1990
TAMARON INVESTMENTS, INC.
February 21, 1984 - August 14, 1985
NTB FINANCIAL CORPORATION
August 18, 1983 - February 2, 1984
APS FINANCIAL CORPORATION
April 20, 1982 - July 29, 1983
B. J. LEONARD AND COMPANY, INC.
November 24, 1980 - February 25, 1982
INTERNATIONAL SECURITIES, 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
Current Firm
SPENCER EDWARDS, INC.
CRD#: 22067 / SEC#: , 8-39511
Contact information
Documents
Direct owners and executive officers
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.
