Stephen J. Wilshinsky
Professional summary
Stephen Joel Wilshinsky was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Stephen is a previously registered financial advisor and started their career in finance in 1978. Prior to being barred, Stephen had worked at 7 firms, which includes MARQUIS FINANCIAL SERVICES INC., OPPENHEIMER & CO. INC., WELLS FARGO CLEARING SERVICES LLC, SUTRO & CO. INCORPORATED, PRUDENTIAL EQUITY GROUP LLC, J.P. MORGAN SECURITIES LLC, LEHMAN BROTHERS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2009 - June 27, 2011
MARQUIS FINANCIAL SERVICES, INC.
September 28, 2005 - April 8, 2009
OPPENHEIMER & CO. INC.
November 24, 2004 - April 8, 2009
OPPENHEIMER & CO. INC.
May 13, 2003 - November 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 15, 2000 - November 29, 2004
WELLS FARGO CLEARING SERVICES, LLC
September 9, 1993 - October 2, 2000
SUTRO & CO. INCORPORATED
October 26, 1988 - September 22, 1993
PRUDENTIAL EQUITY GROUP, LLC
August 8, 1985 - October 31, 1988
J.P. MORGAN SECURITIES LLC
November 27, 1978 - August 5, 1985
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Exams
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
MARQUIS FINANCIAL SERVICES, INC.
CRD#: 20733 / SEC#: , 8-38398
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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