Steven D. Pirrone
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.
Steven David Pirrone, who also goes by Steve Pirrone, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1979. Steven had worked at 16 firms and has passed the Series 63, Series 7 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
October 25, 2002 - March 25, 2003
NORTHEAST SECURITIES, LLC
August 11, 1997 - November 3, 2000
MILESTONE FINANCIAL SERVICES, INC.
January 26, 1996 - August 20, 1997
SPECTRUM SECURITIES, INC.
November 8, 1993 - August 22, 1994
J. ALEXANDER SECURITIES, INC.
April 30, 1991 - October 19, 1993
FINANCIAL WEST GROUP
January 24, 1990 - April 30, 1991
FINANCIAL WEST INVESTMENT GROUP
June 28, 1989 - November 8, 1989
THOMAS GREEN SECURITIES, INC.
February 28, 1989 - June 5, 1989
DOMINICK & DICKERMAN LLC
May 23, 1988 - November 16, 1988
MARKETING ONE SECURITIES, INC.
May 8, 1987 - November 6, 1987
AMERIPRISE ADVISOR SERVICES, INC.
May 23, 1986 - November 3, 1986
ROBERT THOMAS SECURITIES, INC
March 28, 1985 - August 28, 1985
LEHMAN BROTHERS INC.
March 9, 1984 - October 16, 1984
GRIFFIN FINANCIAL SERVICES
January 14, 1983 - March 13, 1984
MORGAN STANLEY DW INC.
January 17, 1980 - January 19, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 1979 - January 14, 1980
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
NORTHEAST SECURITIES, LLC
CRD#: 25996 / SEC#: , 8-42227
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL SERVICES, LLC | SHAREHOLDER | |
| ALMERINI, LOUIS ACHILLE | FINOP | 1605183 |
| DIAMANTIS, JOHN M | CHAIRMAN | 1310200 |
| DUFFY, PAUL EDWARD | PRESIDENT | 2227111 |
| O'ROURKE, CHARLES MICHAEL | SECRETARY | 733917 |
| STICE, HAROLD EUGENE | CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, ROSFP | 1349210 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 11 |
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.
