Steven L. Fritz
Professional summary
Steven Ladd Fritz was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Steven is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Steven had worked at 3 firms, which includes S. C. COSTA COMPANY INC., PRUDENTIAL EQUITY GROUP LLC, ROTAN MOSLE INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 1994 - November 19, 1996
S. C. COSTA COMPANY, INC.
February 24, 1989 - December 24, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 3, 1981 - March 3, 1989
ROTAN MOSLE INC.
October 3, 1977 - May 28, 1981
PRUDENTIAL EQUITY GROUP, LLC
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
S. C. COSTA COMPANY, INC.
CRD#: 7044 / SEC#: , 8-20326
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
