Steven L. Cosner
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 Lewis Cosner was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1977. Steven had worked at 11 firms and has passed the Series 63, SIE 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
June 19, 2018 - February 5, 2025
STERN BROTHERS & CO.
October 12, 2017 - June 11, 2018
GREAT PACIFIC SECURITIES
September 2, 2014 - June 20, 2017
BOK FINANCIAL SECURITIES, INC.
June 2, 2004 - April 9, 2014
E.J. DE LA ROSA & CO., INC.
November 6, 2003 - April 23, 2004
OPPENHEIMER & CO. INC.
November 1, 1993 - July 23, 2003
PIPER SANDLER & CO.
July 22, 1988 - November 27, 1993
BANCAL INVESTMENT SERVICES, INC.
October 26, 1987 - June 23, 1988
PERSHING LLC
October 6, 1986 - November 12, 1987
PRINTON, KANE GOVERNMENT SECURITIES, INC.
March 9, 1981 - February 7, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
July 26, 1977 - March 17, 1981
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
Current Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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