Stephen A. Mortati

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CRD#: 720908

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.

Stephen Anthony Mortati was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1980. Stephen had worked at 16 firms and has passed the Series 63, SIE, 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

October 2, 2015 - December 22, 2015

ABEL/NOSER CORP.

CRD#: 7537

NEW YORK, NY

Past

December 16, 2014 - June 5, 2015

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

Past

October 27, 2014 - December 17, 2014

THE VERTICAL GROUP

CRD#: 104353

RED BANK, NJ

Past

July 9, 2013 - August 13, 2014

AVIATE GLOBAL (US) LLP

CRD#: 151430

NEW YORK, NY

Past

January 2, 2013 - June 24, 2013

TFS DERIVATIVES LLC

CRD#: 30395

STAMFORD, CT

Past

April 5, 2011 - October 8, 2012

CRT CAPITAL GROUP LLC

CRD#: 28830

STAMFORD, CT

Past

February 12, 2007 - April 5, 2011

COWEN SECURITIES LLC

CRD#: 23510

NEW YORK, NY

Past

March 22, 2005 - January 29, 2007

RYAN BECK & CO.

CRD#: 3248

NEW YORK, NY

Past

April 3, 2003 - March 17, 2005

ADVEST, INC.

CRD#: 10

HARTFORD, CT

Past

December 4, 2000 - March 21, 2003

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

July 17, 1998 - December 4, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

January 2, 1997 - May 21, 1998

ABN AMRO INCORPORATED

CRD#: 15776

STAMFORD, CT

Past

October 10, 1995 - January 2, 1997

THE CHICAGO CORPORATION

CRD#: 1449

CHICAGO, IL

Past

January 8, 1991 - September 27, 1995

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

May 1, 1984 - November 9, 1990

ABN AMRO SECURITIES LLC

CRD#: 6540

NEW YORK, NY

Past

December 24, 1980 - August 28, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

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

Series 63

Date: 3/25/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/22/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/1993

General Securities Principal Examination

Current Firm

ABEL/NOSER CORP.

CRD#: 7537 / SEC#: , 8-21897

Terminated by SEC on 12/23/2016

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Contact information

Main Address

One Battery Park Plaza 6th Floor, New York, NY 10004

Mailing Address

Phone number

Established

New York since 10/03/1975

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
ABEL, STANLEY SAMSON	DIRECTOR / COB/ SECRETARY	249
NOSER, EUGENE ANTHONY JR	DIRECTOR	601020
BAMBINO, JOHN J	CFO/FINOP	4237874
CHERRY, ELIN LYNNE	CHIEF COMPLIANCE OFFICER	2430837
CONROY, ANTHONY THOMAS	PRESIDENT	1138902
WEILER, PETER LAWRENCE	EXEC. V.P. / HEAD GLOBAL SALES & CLIENT SERVICES	1634937

Disclosures

Regulatory Event

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

Stephen A. Mortati

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TULLETT PREBON FINANCIAL SERVICES LLC

THE VERTICAL GROUP

AVIATE GLOBAL (US) LLP

TFS DERIVATIVES LLC

CRT CAPITAL GROUP LLC

COWEN SECURITIES LLC

RYAN BECK & CO.

ADVEST, INC.

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

ABN AMRO INCORPORATED

THE CHICAGO CORPORATION

BMO CAPITAL MARKETS CORP.

ABN AMRO SECURITIES LLC

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/25/1991

SIE

Date: 12/22/2015

Series 7

Date: 12/20/1980

Series 24

Date: 7/1/1993

Current Firm

ABEL/NOSER CORP.

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ABEL/NOSER CORP.

TRUST BUT VERIFY

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