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Steven Boblis Resigns from The Retirement Group

Jan 24, 2023 Employment

Steven Boblis (CRD #: 3044031), a broker formerly registered with FSC Securities, resigned from an investment advisory firm, according to his BrokerCheck record, accessed on January 17, 2023. Keep reading to learn more about his alleged conduct as a broker.

Resignation from The Retirement Group

On November 21, 2022, Steven Boblis resigned from investment advisory firm The Retirement Group after allegedly violating his contract, the firm’s privacy policy, Regulation S-P, and California Affirmative Consent Law by taking personal identifiable client information from the firm.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Regulation S-P

Regulation S-P requires firms to provide investors with their privacy policies and allow investors to opt out of having their nonpublic personal information disclosed to third parties.

Background Information

Steven Boblis has passed the following exams:

  • Series 66 – Uniform Combined State Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 62 – Corporate Securities Limited Representative Examination
  • Series 6 – Investment Company Products/Variable Contracts Representative Examination

He previously worked for the following firms:

  • FSC Securities (CRD#:7461)
  • QA3 Financial Corporation (CRD#:14754)
  • Great Northern Financial Securities (CRD#:113054)
  • Veritrust Financial (CRD#:106594)
  • Aragon Financial Services (CRD#:16023)
  • InterFirst Capital (CRD#:7659)
  • San Clemente Securities (CRD#:21895)
  • Signator Investors (CRD#:468)

Kurta Law Can Help

If you worked with Steven Boblis and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.