Stephen J. Taormina
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 Joseph Taormina SR, who also goes by Stephen Joseph Taormina, Stephen Joseph Toarmina, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1979. Stephen had worked at 6 firms and has passed the Series 63, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 30, 2000 - July 23, 2003
GMST WORLD MARKETS, INC.
July 31, 2000 - August 28, 2000
KIRLIN SECURITIES INC.
April 21, 1988 - October 24, 2000
PRINCETON SECURITIES CORPORATION
January 15, 1988 - May 23, 1988
DIVERSIFIED EQUITIES CORP.
December 17, 1986 - November 23, 1987
J. W. GANT & ASSOCIATES, INC.
July 27, 1979 - October 14, 1986
NORBAY SECURITIES 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
Series 55
Date: 1/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
GMST WORLD MARKETS, INC.
CRD#: 16190 / SEC#: , 8-33471
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.
