Stephen C. Kircher
Professional summary
Stephen Charles Kircher was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial professional and started their career in finance in 1976. Prior to being barred, Stephen had worked at 6 firms, which includes ROUND HILL SECURITIES INC., CAPBAY FINANCIAL SERVICES, PRUDENTIAL EQUITY GROUP LLC, BATEMAN EICHLER HILL RICHARDS INCORPORATED, MORGAN STANLEY DW INC., DEAN WITTER & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 1996 - December 31, 1996
ROUND HILL SECURITIES, INC.
September 7, 1993 - February 23, 2001
CAPBAY FINANCIAL SERVICES
September 24, 1985 - February 20, 1986
PRUDENTIAL EQUITY GROUP, LLC
December 18, 1978 - September 9, 1985
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
February 24, 1978 - February 16, 1979
MORGAN STANLEY DW INC.
June 25, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
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 55
Date: 11/18/1998
Limited Representative-Equity Trader ExamCurrent Firm
ROUND HILL SECURITIES, INC.
CRD#: 35223 / SEC#: , 8-46591
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROUND HILL HOLDINGS, INC. | OWNER | |
| ANTONIADES, ADAM NICHOLAS | PRESIDENT/CEO/DIRECTOR | 2261744 |
| DORN, DIANA GAYLE | SVP, CROP, CHIEF COMPLIANCE OFFICER | 1088981 |
| EMFINGER, TERRY LEWIS | EXECUTIVE VICE PRESIDENT/SECRETARY/TREASURER/DIRECTOR | 2206745 |
| LENHARDT, ARTHUR WILLIAM | SENIOR VICE PRESIDENT, SROP | 306553 |
| SBOTO, THOMAS JOSEPH | EXECUTIVE VICE PRESIDENT | 1497190 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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