Steven C. Crowley
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 Clark Crowley was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1981. Steven had worked at 8 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2016 - November 8, 2024
PICKWICK CAPITAL PARTNERS, LLC
October 26, 2009 - October 8, 2014
G.C. ANDERSEN PARTNERS CAPITAL, LLC
February 26, 2001 - January 22, 2003
FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC
June 29, 1999 - December 13, 2000
JPMSI
March 20, 1997 - December 18, 1997
CITIGROUP GLOBAL MARKETS INC.
January 4, 1988 - February 14, 1997
SALOMON BROTHERS INC.
March 20, 1986 - April 23, 1987
UBS FINANCIAL SERVICES INC.
March 23, 1981 - May 13, 1985
KIDDER, PEABODY & CO. 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationCurrent Firm
PICKWICK CAPITAL PARTNERS, LLC
CRD#: 130672 / SEC#: , 8-66373
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GREENWOOD, DOUGLAS CHARLES WILLIAM | PRESIDENT | 1192611 |
| DANOVITCH, DAVID E | MANAGING PRINCIPAL, GENERAL COUNSEL | 3013350 |
| KAPLOWITZ, JAY | MEMBER | |
| ROSE, JOHN IRVING II | MEMBER | 2790640 |
| WU, CHIH-CHUN | MEMBER | 5704739 |
| FJC CAPITAL INC. | OWNER | |
| VAN SCHAACK, JOHN GREGORY | MEMBER | 1121171 |
| ABRAMCZYK, JANE E | CCO | 4801666 |
| ACCESS MEDIA ADVISORY LLC | MEMBER | |
| GENDRON, KAREN MARIE | FINOP | 1503330 |
Red Flags
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