Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Julius Carl is a financial professional with over 30 years of experience in the industry. Stephen is currently registered with Siebert Williams Shank & Co., LLC. Stephen has held previous positions at The Williams Capital Group, L.P. and Jefferies & Company, Inc. Stephen is a Series 4, 7, 9, 10, 24, 55, 57TO, 63, 72 and SIE licensed professional. Stephen Julius Carl is registered with the following states: Arizona, California, District of Columbia, Florida, Georgia, Illinois, Massachusetts, New York, Ohio, Oklahoma, Texas and Washington.
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.
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2
CT
11/05/2019 - Present
Siebert Williams Shank & CO., LLC (WESTPORT CT)
NY
03/30/1999 - 11/05/2019
THE WILLIAMS CAPITAL GROUP, L.P. (NEW YORK NY)
NY
09/13/1991 - 02/04/1999
JEFFERIES & COMPANY, INC. (NEW YORK NY)
AZ
01/15/1991 - 06/24/1991
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
11/18/1986 - 06/09/1988
INGALLS & SNYDER
BC
Issued 12/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/09/2007
Series 4 - Registered Options Principal Examination
BC
Issued 01/21/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/30/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/14/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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