Steven M. Frenkel
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 Martin Frenkel, who also goes by Steven M Frenkel, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1981. Steven had worked at 21 firms and has passed the Series 63, Series 7, Series 15, Series 4, Series 53 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2006 - November 15, 2006
THINKEQUITY LLC
April 7, 2003 - October 30, 2003
S.W. BACH & COMPANY
March 23, 2001 - April 11, 2001
THINKEQUITY LLC
November 3, 1999 - February 23, 2001
LADENBURG THALMANN & CO. INC.
March 1, 1999 - October 14, 1999
JOSEPH STEVENS & CO., INC.
May 15, 1997 - October 29, 1998
PARAGON CAPITAL MARKETS, INC.
June 11, 1996 - July 24, 1997
STUART STONE & CO., LLC
November 23, 1993 - June 10, 1994
INVESTORS ASSOCIATES, INC.
February 3, 1992 - April 1, 1992
LEGEND MERCHANT GROUP, INC.
March 13, 1991 - June 28, 1991
J. B. HANAUER & CO.
February 20, 1990 - May 29, 1990
LOMBARD SECURITIES CORP.
July 14, 1987 - December 7, 1987
WELLMONT SECURITIES, L.P.
December 9, 1986 - December 10, 1986
ALLIED CAPITAL GROUP, INC.
December 9, 1986 - January 27, 1990
BERKELEY SECURITIES CORPORATION
October 15, 1985 - January 7, 1986
EQUITABLE SECURITIES OF NEW YORK,INC.
June 27, 1985 - October 21, 1985
HICKEY, KOBER, INCORPORATED
March 11, 1985 - April 25, 1985
S. D. COHN & CO.
January 30, 1984 - February 15, 1984
MONVEST SECURITIES, INC.
November 1, 1982 - February 1, 1984
SOUTHEAST SECURITIES OF FLORIDA, INC.
September 23, 1982 - October 20, 1982
HAAS SECURITIES CORPORATION
October 9, 1981 - September 29, 1983
J. W. WELLER & CO., INC.
January 19, 1981 - November 5, 1981
BLINDER, ROBINSON & CO., 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
Series 15
Date: 6/15/1989
Foreign Currency Options ExaminationCurrent Firm
THINKEQUITY LLC
CRD#: 20996 / SEC#: , 8-38622
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JAIGOBIND, RAMNARAIN JOSEPH JR | CHIEF EXECUTIVE OFFICER, GENERAL PRINCIPAL | 2273469 |
| FORDHAM HOLDING GROUP, INC. | SHAREHOLDER | |
| BAQUET, EDWARD MANUEL | OPTIONS PRINCIPAL | 4986983 |
| BAQUET, WILLIAM | GENERAL PRINCIPAL, PRESIDENT, DIRECTOR, SECRETARY, TREASURER, HEAD OF TRADING, NYSE GP, NYSE GS CHIEF OPERATING OFFICER | 1332676 |
| BOYLE, BRUCE | COMPLIANCE OFFICER, OPTIONS PRINCIPAL | 1796066 |
| CHOUDHARY, CHIRAG | HEAD OF EQUITY CAPITAL MARKETS AND INSTITUTIONAL SALES | 4534379 |
| GIORDANO, CHARLES FRANCIS | MANAGING DIRECTOR, GENERAL PRINCIPAL | 2124257 |
| HENDERSON, PHYLLIS ANNE | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, NYSE GP, NYSE GS | 1343053 |
| HILDER, DAVID BRUCE | SUPERVISORY ANALYST, RESEARCH PRINCIPAL | 2178978 |
| KRIM, ALAN MITCHELL | CFO, FINOP, NYSE FI | 2785337 |
| KUMAR, ASHOK | MANAGING DIRECTOR, RESEARCH | 2374960 |
| LORD, ERIC | HEAD OF INVESTMENT BANKING | 5232206 |
| MANCUSO, PETER VINCENT | MANAGING DIRECTOR, EQUITY TRADING, NYSE COMPLIANCE OFFICER, FLOOR SUPERVISOR | 2357435 |
| MANGAN, KEVIN ROBERT | MANAGING DIRECTOR, HEAD OF EQUITY SYNDICATE | 5365766 |
| MOHAMMED, SABRINA JASMINE | FINOP | 7151560 |
| QUARTUCCIO, PHILIP PAUL | MANAGING DIRECTOR, HEAD OF GLOBAL TRADING | 2397864 |
| ROTHBAUM, SCOTT | SUPERVISOR - SALES | 5237026 |
| SINGER, JEFFREY DAVID | HEAD OF DEBT CAPITAL MARKETS | 4829339 |
| SKOP, CRAIG MICHAEL | S-24 SUPERVISOR - CORPORATE ACCESS | 2301924 |
Disclosures
| Regulatory Event | 8 |
| 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.
