Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dhuane? Claim Your ProfileDhuane Stephens is a financial advisor with over 25 years of experience in the securities industry. Dhuane Stephens currently works for SG Americas Securities, LLC in New York, NY. Prior to joining SG Americas Securities, LLC, Dhuane Stephens was a financial advisor at Barclays Capital Inc. in New York, NY. Dhuane Stephens is a licensed securities principal and has passed the General Securities Principal Examination (Series 24). Dhuane Stephens is also a licensed securities representative and has passed the General Securities Representative Examination (Series 7). Dhuane Stephens holds several other licenses including Series 63, Series 99TO, and SIE. Dhuane Stephens is registered to offer securities in all 50 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
04/14/2011 - Present
SG Americas Securities, LLC (NEW YORK NY)
NY
03/22/1996 - 02/02/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NA
01/22/1988 - 02/04/1988
WOOD, MACKENZIE & CO., INC.
NA
05/21/1987 - 11/20/1987
BALIS ZORN GERARD INC.
BC
Issued 12/27/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2001
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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