Stephen J. Figliozzi
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 Joseph Figliozzi was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2013 - November 10, 2016
THE ASTORINO FINANCIAL GROUP, INC.
May 8, 2013 - March 1, 2016
LPL FINANCIAL LLC
March 12, 2013 - March 1, 2016
LPL FINANCIAL LLC
March 28, 2012 - April 20, 2015
AFFINITY INVESTMENT ADVISORS, LLC
April 1, 2005 - June 4, 2010
VAN KAMPEN ADVISORS INC
March 31, 2005 - June 4, 2010
INVESCO CAPITAL MARKETS, INC.
September 4, 2002 - April 21, 2005
MORGAN STANLEY & CO. LLC
January 25, 1994 - July 10, 2002
MORGAN STANLEY DW INC.
December 2, 1986 - March 11, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 31, 1986 - December 18, 1986
ABACUS EQUITY SERVICES, INC.
February 12, 1986 - October 31, 1986
CARDELL & ASSOCIATES, INCORPORATED
September 20, 1983 - February 24, 1986
LEHMAN BROTHERS INC.
February 23, 1981 - September 16, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 8
Date: 9/27/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE ASTORINO FINANCIAL GROUP, INC.
CRD#: 120217 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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