Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Mazepa is a financial professional with over 17 years of experience in the industry. Stephen is currently registered with Sumo Capital, LLC and holds the Series 7, Series 31, Series 55, Series 57TO, and SIE licenses. Stephen has previously held registrations with NEUBERGER BERMAN LLC, Sanford C. Bernstein & Co., LLC, Great Point Capital LLC and Assent LLC. Stephen holds a Series 65 (Uniform Investment Adviser Law Examination) license and a Series 63 (Uniform Securities Agent State Law Examination) license. Stephen is based in Chicago, Illinois.
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
IL
12/06/2022 - Present
Sumo Capital, LLC (CHICAGO IL)
CA
06/25/2010 - 05/12/2015
NEUBERGER BERMAN LLC (LOS ANGELES CA)
CA
04/12/2007 - 06/29/2010
SANFORD C. BERNSTEIN & CO., LLC (LOS ANGELES CA)
IL
08/09/2005 - 01/04/2007
GREAT POINT CAPITAL LLC (CHICAGO IL)
IL
07/05/2004 - 08/05/2005
ASSENT LLC (BOLINGBROOK IL)
IA
Issued 07/31/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/27/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/06/2022
Series 57TO - Securities Trader Exam
BC
Issued 11/23/2022
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 08/19/2005
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/02/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq PHLX LLC
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