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Steven John Tricarico

Jefferies LLC

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About Steven John Tricarico

Steven Tricarico is a financial advisor with over 29 years of experience in the industry. Steven currently works with Jefferies LLC and has been with the firm since 12/04/2007. Before working at Jefferies LLC Steven worked at Wachovia Capital Markets, LLC, Wachovia Securities, LLC, Bear Stearns & Co. Inc., Nationsbanc Capital Markets, Inc., and Nationsbanc Securities, Inc. Steven has a Series 7, Series 24, Series 63, SIE, and Series 79TO. Steven is registered to sell securities in North Carolina.

Firm Information

Steven Tricarico is currently registered with Jefferies LLC. Jefferies LLC is a Limited Liability Company formed on March 1, 2013, operating in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They are approved by the SEC and hold active registrations in all 53 jurisdictions.

Not reported

Assets Under Management

Not reported

Total Clients

446

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Steven Tricarico’s Registration & Firm History

NC

12/10/2007 - Present

Jefferies LLC (CHARLOTTE NC)

NC

07/01/2003 - 12/03/2007

WACHOVIA CAPITAL MARKETS, LLC (CHARLOTTE NC)

MO

07/12/2002 - 07/01/2003

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NY

07/24/1997 - 06/06/2002

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

08/04/1993 - 06/19/1996

NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)

MA

03/15/1993 - 08/04/1993

NATIONSBANC SECURITIES, INC. (BOSTON MA)

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Licenses & Designations

BC

Issued 10/24/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/04/2014

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/10/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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 Emerald, 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 MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Steven John Tricarico.
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