Stephen C. Schoffman
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 Charles Schoffman was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 13 firms and has passed the Series 63, Series 7, Series 15, Series 24, Series 53 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
January 29, 2010 - March 10, 2010
LAMPERT CAPITAL MARKETS INC.
January 14, 2009 - January 11, 2010
EKN FINANCIAL SERVICES INC.
October 28, 2004 - April 25, 2005
J.P. TURNER & COMPANY, L.L.C.
January 2, 2001 - February 21, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
June 15, 1995 - January 2, 2001
GLOBAL CAPITAL MARKETS, LLC
June 2, 1995 - November 7, 1995
STUART, COLEMAN & CO., INC.
March 5, 1990 - June 28, 1995
PRIME CHARTER LTD.
May 18, 1989 - March 19, 1990
SCHRODER & CO. INC.
February 8, 1988 - May 30, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
January 29, 1988 - February 18, 1988
CIBC WORLD MARKETS CORP.
December 19, 1983 - February 18, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
April 19, 1982 - December 16, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 23, 1981 - February 22, 1983
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: 7/2/1985
Foreign Currency Options ExaminationSeries 8
Date: 1/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
