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SS

Steven H. Sirot

CHELSEA FINANCIAL SERVICES
Staten Island, NY 10307
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CRD#: 7580026
SS

Professional summary


Steven H Sirot is a registered financial professional currently at CHELSEA FINANCIAL SERVICES located in Staten Island, New York.

Steven is registered as a RR (Registered Representative) and started their career in finance in 2022. Steven has worked at 1 firm and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

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 Steven H Sirot's CRS (Customer Relationship Summary).
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

December 8, 2022 - Present

CHELSEA FINANCIAL SERVICES

Office #1: 242 Main Street, Staten Island, NY 10307
BD
CRD#: 47770
Staten Island, 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
Arizona
(1/5/2023)
RR
California
(1/5/2023)
RR
Connecticut
(3/24/2023)
RR
Delaware
(1/5/2023)
RR
Florida
(1/5/2023)
RR
New Jersey
(1/5/2023)
RR
New York
(1/5/2023)
RR
North Carolina
(2/6/2023)
RR
Pennsylvania
(1/5/2023)
RR
Virginia
(1/5/2023)
RR
Washington
(1/5/2023)

Exams


State Security Law Exam
RR
Series 63
Date: 12/19/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/8/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


CF
CHELSEA FINANCIAL SERVICES
CHELSEA FINANCIAL SERVICES | DBA CHELSEA FINANCIAL SERVICES | CHELSEA MORGAN SECURITIES, INC.

CRD#: 47770 / SEC#: , 8-51916

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


Main Address
242 Main Street, Staten Island, NY 10307
Mailing Address
242 Main Street, Staten Island, NY 10307
Phone number
(718) 967-8400
Established
New York since 05/05/1999
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)


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

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
PISAPIA, JOHN THOMASPRESIDENT2336216
SEBOLD, STEPHEN RAPHAELCHIEF COMPLIANCE OFFICER2453748

Disclosures


Regulatory Event4

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


CHELSEA FINANCIAL SERVICES

CRD#: 47770Staten Island, NY 10307

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