Stephen D. Curtis
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 David Curtis, who also goes by Stephen D Curtis, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1978. Stephen had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 5, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2016 - October 3, 2019
MKM PARTNERS LLC
September 9, 2010 - November 3, 2015
BMO CAPITAL MARKETS CORP.
April 1, 2003 - July 2, 2010
UBS SECURITIES LLC
May 20, 1998 - March 11, 2003
DEUTSCHE BANK SECURITIES INC.
June 7, 1988 - May 6, 1998
UBS SECURITIES LLC
July 1, 1987 - October 24, 1988
CREDIT SUISSE SECURITIES (USA) LLC
September 15, 1983 - June 17, 1987
GRUNTAL & CO., L.L.C.
February 19, 1980 - September 12, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
November 1, 1978 - January 21, 1980
FLEET BROKERAGE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 3/1/2006
Limited Representative-Equity Trader ExamSeries 5
Date: 10/14/1981
Interest Rate Options ExaminationCurrent Firm
MKM PARTNERS LLC
CRD#: 114666 / SEC#: , 8-53436
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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