Steven J. Weitz
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 James Weitz was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1977. Steven had worked at 8 firms and has passed the Series 63, SIE, Series 5, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2013 - September 26, 2017
VISION BROKERAGE SERVICES, LLC
March 16, 1999 - November 20, 2013
GBS FINANCIAL CORP.
March 11, 1991 - February 25, 1999
UBS FINANCIAL SERVICES INC.
April 11, 1988 - April 8, 1991
LEHMAN BROTHERS INC.
October 11, 1985 - April 11, 1988
E. F. HUTTON & COMPANY INC
March 25, 1981 - November 6, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 29, 1979 - January 31, 1981
CIBC WORLD MARKETS CORP.
February 1, 1977 - July 18, 1979
CITIGROUP GLOBAL MARKETS 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 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 3/25/1981
AMEX Put and Call ExamCurrent Firm
VISION BROKERAGE SERVICES, LLC
CRD#: 47927 / SEC#: , 8-51966
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOSHNACK, ROBERT MARTIN | CLASS A MEMBER | |
| ROTHMAN, HOWARD MARTIN | CLASS A MANAGING MEMBER, CEO, CFO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VP-OPERATIONS, PRINCIPAL OPERATIONS OFFICER, INSURANCE AND ANNUITY PRINCIPAL | 5288054 |
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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