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Detailed Report
STEVEN JOSEPH GESSNER
STEVEN J GESSNER
CRD#: 2650114
IA
Investment Adviser
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Previous Broker
WPG FINANCIAL GROUP, LLCCRD#: 291708 3600 O'DONNELL STREET
SUITE 860
BALTIMORE, MD 21224
Registration History
19952000200520102015202020252 FIRMS2005 - 2005 (<1 year)2 FIRMS2012 - 2018 (6 years)IAWPG FINANCIAL GROUP, LLC (CRD# 291708)2018 - Present (6 years)BUNITED PLANNERS' FINANCIAL SER... (CRD# 20804)2018 - 2021 (2 years)BWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2005 - 2012 (7 years)BMONY SECURITIES CORPORATION (CRD# 4386)1995 - 2005 (9 years)IAWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2009 - 2012 (3 years)IAWOODBURY FINANCIAL SERVICES, INC. (CRD# 421)2006 - 2007 (<1 year)IAMONY SECURITIES CORPORATION (CRD# 4386)2000 - 2005 (4 years)
Disclosure(s)
View By:
8/15/2024
Customer Dispute
Settled
License(s)

State Registrations

IA
Maryland 10/19/2018
IA
Texas 12/3/2024
Current Registration(s)
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WPG FINANCIAL GROUP, LLC (CRD#:291708)
3600 O'DONNELL STREET SUITE 860, BALTIMORE, MD 21224
Registered with this firm since 10/19/2018
Previous Registration(s)
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 10/18/2018 - 06/25/2021 UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (CRD#:20804) BALTIMORE, MD
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 11/16/2012 - 11/05/2018 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) BALTIMORE, MD
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 11/16/2012 - 11/05/2018 CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543) BALTIMORE, MD
IA
 02/03/2009 - 11/20/2012 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) BALTIMORE, MD
B
 09/30/2005 - 11/20/2012 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) BALTIMORE, MD
IA
 06/30/2006 - 03/12/2007 WOODBURY FINANCIAL SERVICES, INC. (CRD#:421) BALTIMORE, MD
IA
 06/01/2005 - 09/30/2005 AXA ADVISORS, LLC (CRD#:6627) COLUMBIA, MD
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 06/01/2005 - 09/30/2005 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
IA
 08/02/2000 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) TOWSON, MD
B
 08/24/1995 - 06/01/2005 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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
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.