Individual Firm
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STEEVE KOVEN-AUGUSTIN
STEEVE AUGUSTIN
CRD#: 6296709
IA
B
LPL ENTERPRISE, LLCCRD#: 8733 445 BROADHOLLOW ROAD
SUITE 405
MELVILLE, NY 11747
SUITE 405
MELVILLE, NY 11747
0
Disclosures
10
Years of Experience
View By:
State Registrations
B
California 11/14/2024
B
New York 11/14/2024
B
Connecticut 11/14/2024
IA
New York 11/14/2024
B
Florida 11/15/2024
B
Tennessee 1/2/2025
B
Maine 11/14/2024
B
Texas 1/16/2025
B
New Jersey 11/14/2024
B
Virginia 11/14/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 11/14/2024
B
Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/07/2021 - 11/14/2024 | Melville, NY | |
B | 04/18/2014 - 11/14/2024 | Melville, 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.