Stephen D. Unterhalter
Professional summary
Stephen David Unterhalter is a registered financial professional currently at YOUNG AMERICA CAPITAL, LLC located in Mamaroneck, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1976. Stephen has worked at 9 firms and has passed the Series 63, Series 82TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen David Unterhalter's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 19, 2021 - Present
YOUNG AMERICA CAPITAL, LLC
Office #1: 141 East Boston Post Road, Mamaroneck, NY 10543February 13, 2006 - June 15, 2006
AURIA SERVICES CORP.
March 2, 2000 - March 6, 2002
MUZINICH & CO., INC.
February 15, 1996 - January 5, 2000
GREENWICH HIGH YIELD LLC
June 17, 1991 - November 29, 1994
CREDIT SUISSE SECURITIES (USA) LLC
March 30, 1989 - July 1, 1991
DURIAN SECURITIES, INC.
November 19, 1987 - April 19, 1988
COMMERCIAL UNION CAPITAL MARKETS, INC.
June 20, 1983 - February 27, 1988
DJS SECURITIES LIMITED
May 20, 1976 - March 6, 1982
THOMSON MCKINNON SECURITIES 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
(3/9/2022)
Exams
Series 82TO
Date: 8/19/2021
Limited Representative-Private Securities OfferingsFINRA
Current Firm
YOUNG AMERICA CAPITAL, LLC
CRD#: 150443 / SEC#: , 8-68260
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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