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Steven Charles Sapirstein

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Information

Other Names: Steven Sapirstein
Firm:
Type: Dual Registration
Description

Steven Sapirstein is a financial professional at Janney Montgomery Scott LLC, a broker-dealer with over 1,400 registered representatives nationwide. Steven has held an industry securities registration for 24 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Janney Montgomery Scott LLC 1 year, 5 months 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
Exams
ExamSeriesPassed Date
National Commodity Futures ExaminationSeries 3 03/27/1996
Uniform Investment Adviser Law ExaminationSeries 65 02/26/1996
General Securities Sales Supervisor Examination (Options Module & GeneralModule)Series 8 05/16/1994
Futures Managed Funds ExaminationSeries 31 06/21/1993
Uniform Securities Agent State Law ExaminationSeries 63 07/09/1990
General Securities Representative ExaminationSeries 7 06/16/1990

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Steven Charles Sapirstein has not answered any questions on Financial Q&A.

Top Guides

Steven Charles Sapirstein has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute Pending

As of Date
10/03/2014
01/03/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions
  • Other: FEE PLUS COMMISSION