Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Simberg is a financial advisor with over 30 years of experience in the industry. He has held various positions at firms such as Credit Suisse Securities (USA) LLC, American Express Financial Advisors Inc., and IDS Life Insurance Company. Stephen is currently registered with BNP Paribas Securities Corp. and is licensed in all 50 states. He holds a variety of licenses, including Series 3, 7, 9, 10, 23, 24, 55, 57TO, and SIE.
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
01/09/2024 - Present
BNP Paribas Securities Corp. (NEW YORK NY)
IL
08/23/1996 - 11/21/2023
CREDIT SUISSE SECURITIES (USA) LLC (CHICAGO IL)
MN
11/11/1991 - 11/21/1994
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/11/1991 - 11/21/1994
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 11/09/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 07/09/2018
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 04/06/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/21/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/25/2014
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/12/1996
Series 3 - National Commodity Futures Examination
BC
Issued 11/08/1991
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
M
Miami International Securities Exchange, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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