Stephen D. Leit

SHUFRO, ROSE & CO.

New York, NY 10022

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CRD#: 818707

Professional summary

Stephen David Leit is a registered financial advisor currently at SHUFRO, ROSE & CO., LLC located in New York, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Stephen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Stephen David Leit'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

March 2, 1989 - Present

SHUFRO, ROSE & CO., LLC

Office #1: 600 Lexington Avenue 15th Floor, New York, NY 10022

RIA

CRD#: 3403

New York, NY

Past

November 9, 1984 - December 10, 2015

SHUFRO, ROSE & CO., LLC

CRD#: 3403

NEW YORK, NY

Past

August 27, 1984 - October 12, 1984

ABN AMRO SECURITIES LLC

CRD#: 6540

Past

March 2, 1982 - August 17, 1984

NEUBERGER BERMAN BD LLC

CRD#: 2908

Past

March 1, 1976 - February 23, 1982

SCHRODER & CO. INC.

CRD#: 6112

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHUFRO, ROSE & CO., LLC

SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC

CRD#: 3403 / SEC#: 801-977, 8-4024

RIA

Registered Investment Advisory firm - SEC (4/7/1955 Approved)

Terminated by SEC on 02/09/2016

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(3/3/2021)

IAR

Connecticut
(3/3/2021)

IAR

Florida
(6/10/2021)

IAR

New Jersey
(9/5/2002)

IAR

New York
(3/3/2021)

IAR

Texas
(3/3/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/5/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/7/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/10/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/21/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 4/25/1992

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 6/1/1989

General Securities Principal Examination

Current Firm

SHUFRO, ROSE & CO., LLC

SHUFRO ROSE | SHUFROROSE | SHUFRO, ROSE & EHRMAN, LLC | SHUFRO, ROSE & EHRMAN | SHUFRO, ROSE & CO., LLC

CRD#: 3403 / SEC#: 801-977, 8-4024

RIA

Registered Investment Advisory firm - SEC (4/7/1955 Approved)

Terminated by SEC on 02/09/2016

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Contact information

Main Address

600 Lexington Avenue 15th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 754-5100

Established

New York since 04/01/1997

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHUFRO ROSE & CO - FORM ADV PART 2A (3/27/2025)

Direct owners and executive officers

Name	Position	CRD#
LEIT, STEPHEN DAVID	SENIOR MANAGING DIRECTOR	818707
SHUFRO, EDWARD GEORGE	SENIOR MANAGING DIRECTOR, CEO	422885
CONTANT, JOHN MARINUS	SENIOR MANAGING DIRECTOR	2810876
GLASS, STEVEN JEFFREY	SENIOR MANAGING DIRECTOR, CFO, FINOP	1756153
WACHT, HARVEY	SENIOR MANAGING DIRECTOR	456036
EDWARDS, MYLES JOSHUA IV	CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, AML- CO, GENERAL COUNSEL	2040332
KAMINSKY, TONIA	SENIOR MANAGING DIRECTOR	4134855
SHUFRO, GREGORY DAVID	SENIOR MANAGING DIRECTOR	4718283

Regulatory assets under management

Total Number of Accounts	1,338
AUM (Assets Under Management)	$ 2,165,482,981

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/17/2024	Cover Page	Report
06/14/2023	Cover Page	Report

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.

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Firm Stability Insights

Stephen D. Leit

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SHUFRO, ROSE & CO., LLC

ABN AMRO SECURITIES LLC

NEUBERGER BERMAN BD LLC

SCHRODER & CO. INC.

Primary Firm SEC Registration

SHUFRO, ROSE & CO., LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/1992

Series 63

Date: 2/7/1985

SIE

Date: 12/10/2015

Series 7

Date: 2/21/1976

Series 14

Date: 4/25/1992

Series 24

Date: 6/1/1989

Current Firm

SHUFRO, ROSE & CO., LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

SHUFRO, ROSE & CO., LLC

TRUST BUT VERIFY

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