Steven Effron
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 Effron was a registered financial advisor .
Steven is a previously registered financial advisor and started their career in finance in 1970. Steven had worked at 16 firms and has passed the Series 65 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2007 - March 24, 2009
SUMMIT BROKERAGE SERVICES, INC.
July 10, 2007 - March 24, 2009
SUMMIT FINANCIAL GROUP INC
January 11, 2005 - April 19, 2007
INVESTORS CAPITAL CORP.
October 14, 2003 - December 31, 2004
EASTERN POINT ADVISORS INC.
October 22, 2002 - April 19, 2007
INVESTORS CAPITAL CORP.
September 26, 2001 - December 3, 2002
PRIME CAPITAL SERVICES, INC.
February 15, 2000 - September 26, 2001
INVESTORS CAPITAL CORP.
August 5, 1998 - January 12, 1999
CONSECO SECURITIES, INC.
July 23, 1997 - August 5, 1998
CONSECO FINANCIAL SERVICES, INC.
May 13, 1997 - June 17, 1997
ARGUS SECURITIES, INC.
February 24, 1993 - May 12, 1997
ESSEX NATIONAL SECURITIES, LLC
May 21, 1990 - February 11, 1992
USF&G INVESTMENT SERVICES, INC.
March 17, 1989 - April 16, 1990
TRANSAMERICA CAPITAL, LLC
February 26, 1988 - February 7, 1989
ROYAL HUTTON SECURITIES CORP.
April 1, 1987 - July 9, 1987
COLONIAL INVESTMENT SERVICES, INC.
June 24, 1982 - November 13, 1986
THE GREAT-WEST LIFE ASSURANCE COMPANY
June 3, 1971 - August 31, 1971
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 10, 1970 - September 7, 1971
SIGNATOR INVESTORS, 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 1
Date: 4/29/1969
Registered Representative ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
