Steven Paden
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 Paden, who also goes by Steven Wayne Paden, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 10 firms and has passed the Series 63, SIE, Series 55, Series 7, Series 3, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2017 - September 16, 2021
NYLIFE SECURITIES LLC
October 1, 2012 - March 16, 2016
ACCESS SECURITIES, LLC
February 9, 2010 - September 28, 2012
SHORELINE TRADING GROUP LLC
July 2, 2009 - December 16, 2009
COWEN EXECUTION SERVICES LLC
November 11, 2002 - June 24, 2009
JONESTRADING
June 23, 1989 - May 8, 1990
INTL CUSTODY & CLEARING SOLUTIONS INC.
March 31, 1989 - April 13, 1989
FIRST UNION CAPITAL MARKETS CORP.
April 11, 1988 - April 19, 1989
MARSHALL & CO. SECURITIES, INC.
November 14, 1986 - January 30, 1988
MONTGOMERY SECURITIES
December 29, 1980 - October 31, 1986
JEFFERIES LLC
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 55
Date: 10/17/2002
Limited Representative-Equity Trader ExamCurrent Firm
NYLIFE SECURITIES LLC
CRD#: 5167 / SEC#: , 8-15517
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NYLIFE LLC. | SHAREHOLDER | |
| BAGTAS, ANGELA CHEN | ELECTED MANAGER | 8172856 |
| BOCCIO, JOHN MICHAEL | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 4600977 |
| DUARTE, DEBORAH LYNN | ELECTED MANAGER | 6090278 |
| ENGELBRECHTSEN, TOM DAHL | CORPORATE VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 2908809 |
| FEINBERG, AMARYA NMN | ELECTED MANAGER | 8162482 |
| GARDNER, ROBERT MICHAEL | ELECTED MANAGER | 6160318 |
| HUANG, DYLAN WEI | ELECTED MANAGER AND CHAIRMAN | 6233208 |
| LOFTUS, PATRICIA ELIZABETH | CORPORATE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 2156131 |
| SCHWARTZ, RACHEL SABRINA | VICE PRESIDENT AND ASSOCIATE GENERAL COUNSEL | 8170474 |
| TILLOTSON, SANDRA G | ELECTED MANAGER | 7617600 |
| ZAMAN, NABEED | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6410914 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 7 |
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.
