Stephen A. Kazak
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.
Stephen Alexander Kazak, who also goes by Stephen A Kazak, Stephen Alexander Kvaisak, Stephen Kvaisak, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1977. Stephen had worked at 13 firms and has passed the Series 63, SIE, Series 3 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 4, 2014 - August 10, 2015
INSPEREX LLC
September 30, 2011 - October 15, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 23, 1996 - September 30, 2011
STONE & YOUNGBERG LLC
April 8, 1994 - August 14, 1996
GOLDEN GATE SECURITIES LLC
April 5, 1991 - February 3, 1994
SANWA UNIVERSAL SECURITIES CO., LLC
February 28, 1991 - February 3, 1994
SANWA SECURITIES (USA) CO., L.P.
September 4, 1990 - April 16, 1991
WELLS FARGO CLEARING SERVICES, LLC
July 30, 1990 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
June 21, 1989 - February 15, 1990
GRUNTAL & CO., L.L.C.
March 1, 1985 - June 6, 1989
PACIFIC SECURITIES, INC.
March 7, 1983 - January 15, 1985
KENNEY & BRANISEL MUNICIPALS, INC.
August 16, 1979 - September 15, 1981
HANAUER, STERN & COMPANY,INCORPORATED
September 1, 1977 - September 13, 1979
RYAN BECK & CO.
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
INSPEREX LLC
CRD#: 101420 / SEC#: , 8-52081
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| CARRELS, CHRISTINE ANN | CHIEF MARKETING OFFICER | 6651750 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| ELLIOTT, LAURA SUE | PRESIDENT | 2125558 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| NICHOLSON, MARSHALL ALLEN | HEAD OF STRATEGIC INITIATIVES | 4585471 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
| RHODES, DERYK TREVOR | HEAD OF WEALTH MANAGEMENT SOLUTIONS | 4157411 |
| TOLAR, JOHN M | HEAD OF FIXED INCOME SALES & TRADING | 3075402 |
Disclosures
| Regulatory Event | 1 |
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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