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SD

Stephen Ducey

VESTRA ADVISORS
NEW YORK, NY 10007
Some features on this profile are disabled
CRD#: 7507148
SD

Professional summary

Stephen Ducey, who also goes by Stephen Ducey Jr, is a registered financial professional currently at VESTRA ADVISORS, LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2022. Stephen has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Ducey Jr

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) - BD

Click below to view Stephen Ducey's CRS (Customer Relationship Summary).

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

Current

June 21, 2024 - Present

VESTRA ADVISORS, LLC

Office #1: One World Trade Center 85th Floor, New York, NY, 10007
BD
CRD#: 327907
NEW YORK, NY
Past

April 15, 2022 - June 18, 2024

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(6/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 5/9/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 4/15/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/7/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

VA
VESTRA ADVISORS, LLC
VESTRA ADVISORS, LLC

CRD#: 327907 / SEC#: , 8-71140

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
5201 E. Blue Lagoon Drive 8th Floor, Miami, FL 33126
Mailing Address
5201 E. Blue Lagoon Drive 8th Floor, Miami, FL 33126
Phone number
(917) 747-0580
Established
Delaware since 05/09/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VESTRA ADVISORS HOLDING COMPANY, LLCPARENT COMPANY
KUHN, BRYAN PATRICKPARTNER5938486
MORIARTY, RICHARD LOUISMANAGING PARTNER2154415
PORTWOOD, WILLIAM BOYCECCO/POO/PFO4853700
PRAMOD, TARUNPARTNER6501967
VUKSICH, ALEXANDER WARDPARTNER5683995

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

VESTRA ADVISORS, LLC

CRD#: 327907New York, NY 10007

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