Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Zak is a financial professional with over 20 years of experience in the industry. Stephen holds Series 7, 24, 27, 99TO and SIE licenses. Stephen is currently registered with Curvature Securities LLC and R.J. O'Brien Securities, LLC. Stephen has previously held positions with M1 Finance LLC, Carta Securities, LLC, Jiko Securities Inc., Velox Clearing LLC, Cowen and Company, Leerink Swann & Company and Adams Harkness, Inc. Stephen's experience includes serving as a Compliance Officer and holding various Principal roles. Stephen's focus is on providing clients with investment advice and guidance.
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
NJ
07/16/2024 - Present
Curvature Securities LLC (CHATHAM NJ)
IL
10/06/2021 - 07/18/2024
M1 FINANCE LLC (CHICAGO IL)
CA
03/04/2021 - 10/30/2023
CARTA SECURITIES, LLC (SAN FRANCISCO CA)
CA
03/01/2021 - 03/31/2023
JIKO SECURITIES INC. (SAN FRANCISCO CA)
FL
10/15/2020 - 03/31/2021
VELOX CLEARING LLC (MIAMI FL)
NY
05/29/2007 - 09/19/2011
COWEN AND COMPANY (NEW YORK NY)
NY
07/12/2005 - 05/30/2007
LEERINK SWANN & COMPANY (NEW YORK NY)
NY
06/28/1999 - 07/19/2005
ADAMS HARKNESS, INC. (NEW YORK NY)
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 08/23/2000
Series 24 - General Securities Principal Examination
BC
Issued 06/09/1999
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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