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Steven P. Sanders

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CRD#: 726916
SS

Professional summary

Steven Paul Sanders was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Steven had worked at 4 firms, which includes STRATTON OAKMONT INC., WINDHAM SECURITIES INC., HAMILTON GRANT & COMPANY INC., NORBAY SECURITIES INC..

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steven Paul Schwartz

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

March 30, 1988 - February 1, 1997

STRATTON OAKMONT INC.

BD
CRD#: 18692
LAKE SUCCESS, NY
Past

December 1, 1987 - March 7, 1989

WINDHAM SECURITIES, INC.

BD
CRD#: 20529
Past

July 15, 1986 - April 19, 1988

HAMILTON, GRANT & COMPANY, INC.

BD
CRD#: 15348
Past

March 23, 1981 - July 28, 1986

NORBAY SECURITIES INC.

BD
CRD#: 5431

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
RR
Series 63
Date: 6/8/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/21/1981
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/25/1987
General Securities Principal Examination

Current Firm

SO
STRATTON OAKMONT INC.
OAKMONT SECURITIES INC. | VALENOTI SECURITIES INC. | STRATTON OAKMONT INC.

CRD#: 18692 / SEC#: , 8-36919

BD
Cancelled by SEC on 01/31/2007
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/23/1986
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

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.

Company Information

STRATTON OAKMONT INC.

CRD#: 18692

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