|Other Names:||Steven Sapirstein|
Steven Sapirstein is a financial professional at Janney Montgomery Scott LLC, a broker-dealer with over 1,450 registered representatives nationwide. Steven has held an industry securities registration for 23 years and is subject to SEC and FINRA oversight.
Top AnswersSteven Charles Sapirstein has not answered any questions on Financial Q&A.
|High Net Worth Individuals|
|Banking or Thrift Institutions|
|Pension and Profit Sharing Plans|
|Corporations or Other Businesses|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Janney Montgomery Scott LLC||8 months, 1 week||Jul 2013 - Present|
|Raymond James & Associates||1 year, 6 months||Jan 2012 - Jul 2013|
|Morgan Stanley Smith Barney||2 years, 7 months||Jun 2009 - Jan 2012|
|Citigroup Global Markets Inc.||9 years, 10 months||Aug 1999 - Jun 2009|
1 Customer Dispute
1 Customer Dispute Pending
|As of Date||
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.
|National Commodity Futures Examination||Series 3||03/27/1996|
|Uniform Investment Adviser Law Examination||Series 65||02/26/1996|
|General Securities Sales Supervisor Examination (Options Module & GeneralModule)||Series 8||05/16/1994|
|Futures Managed Funds Examination||Series 31||06/21/1993|
|Uniform Securities Agent State Law Examination||Series 63||07/09/1990|
|General Securities Representative Examination||Series 7||06/16/1990|
Types of Compensation Arrangements
- Percentage of Assets
- Fixed Fees
- Other: FEE PLUS COMMISSION