Individual Firm
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STEVEN ILLYA TAUB
STEVEN I TAUB
CRD#: 2283065
IA
B
MORGAN STANLEYCRD#: 149777 2000 Westchester Avenue
1NC
Purchase, NY 10577
1NC
Purchase, NY 10577
0
Disclosures
29
Years of Experience
View By:
State Registrations
B
Alaska 2/17/2023
B
New Hampshire 2/17/2023
B
Arizona 2/17/2023
B
New Jersey 2/17/2023
B
California 2/17/2023
B
New York 2/17/2023
B
Colorado 1/19/2024
IA
New York 2/17/2023
B
Connecticut 2/17/2023
B
North Carolina 2/17/2023
B
Delaware 2/17/2023
B
Oregon 2/17/2023
B
Florida 2/17/2023
B
Pennsylvania 2/17/2023
B
Georgia 2/17/2023
B
Tennessee 2/17/2023
B
Massachusetts 2/17/2023
IA
Texas 2/22/2023
B
Michigan 2/17/2023
B
Wisconsin 1/16/2024
B
Nebraska 2/22/2024
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 2/17/2023
B
Registered with this firm since 2/17/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/29/2007 - 02/22/2023 | NEW YORK, NY | |
B | 05/29/2007 - 02/22/2023 | NEW YORK, NY | |
IA | 12/06/2004 - 05/29/2007 | NEW YORK, NY | |
B | 01/29/2001 - 05/29/2007 | NEW YORK, NY | |
B | 08/25/1994 - 02/11/1999 | NEW YORK, NY | |
B | 04/19/1993 - 08/25/1994 | STATEN ISLAND, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.