Steven Pisano has been Chief Compliance Officer of Simon Quick Advisors since January 2020, is a control person of the firm and directly owns under 5% of it. Steven Pisano holds a BA with honors from York College of Pennsylvania, an MBA in Financial Management from Pace University Lubin School of Business and a JD from Seton Hall University School of Law.
Simon Quick Advisors, LLC is a Morristown, NJ firm with $9.01B under management, 1,042 clients and 77 advisers across 8 offices, as of its July 2026 filing.
Steve Pisano is Chief Compliance Officer of Simon Quick Advisors, based in Morristown, NJ. He joined the firm in 2016 and oversees its regulatory obligations, including developing and implementing written policies, reviewing their efficiency and addressing identified deficiencies. Before joining, he was Chief Compliance Officer of the Investment Operations and Platform at Dynasty Financial Partners, and earlier spent 3 years at HSBC in its registered investment advisor and broker dealer Compliance Department. He held various compliance roles over 7 years at New York Life Insurance Company, beginning in the Branch Examination team.
Steven Pisano’s longest registration is the current one, 10 years at Simon Quick Advisors since 2016. Before joining Simon Quick Advisors in 2016, Steven Pisano was registered through Dynasty Wealth Management, LLC and HSBC Securities (USA) Inc.
- Simon Quick Advisors, LLCCurrent– present · 10 yearsMorristown, NJ · Adviser representative · Firm CRD 132330
- Dynasty Wealth Management, LLC– · under a yearNew York, NY · Adviser representative · Firm CRD 153377
- HSBC Securities (USA) Inc.– · 2 yearsNew York, NY · Adviser representative · Firm CRD 19585
- Eagle Strategies LLC– · under a yearNew York, NY · Adviser representative · Firm CRD 110826
Investment adviser representative registrations
Steven Pisano is registered as an investment adviser representative in New Jersey, since August 2016.
- New JerseySince 30 August 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 24 December 2008 |
| Series 24 | General Securities Principal Examination | 22 September 2008 |
| Series 7 | General Securities Representative Examination | 30 November 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Full name
- Steven Henry Pisano
- CRD
- 5245139
- Firm
- Simon Quick Advisors · CRD 132330
- Role
- Chief Compliance Officer
- Office
- 360 MT. KEMBLE AVE, Morristown, NJ 07960
- Registration
- Investment adviser registration
- In the industry since
- January 2013
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- simonquickadvisors.com
Where does Steven Pisano work?
Steven Pisano has been Chief Compliance Officer of Simon Quick Advisors, LLC since January 2020, and is a control person of the firm.
Is Steven Pisano a financial advisor?
Yes. Steven Pisano has a current investment-adviser registration in New Jersey, through Simon Quick Advisors since August 2016.
How many years of experience does Steven Pisano have?
Steven Pisano has 13 years in the financial industry, since January 2013, across 4 adviser firms.
What exams has Steven Pisano passed?
Steven Pisano has passed 3 licensing exams: the Series 7, Series 24 and Series 66. The earliest, the Series 7, was passed in November 2006. FINRA credited Steven Pisano with the SIE, which began in October 2018.
Where did Steven Pisano work before Simon Quick Advisors?
Before Simon Quick Advisors, Steven Pisano was registered through Dynasty Wealth Management, LLC, April 2016 to July 2016; HSBC Securities (USA) Inc., November 2012 to November 2015; Eagle Strategies LLC, July 2012 to November 2012.
Where is Steven Pisano based?
Steven Pisano’s registered office is in Morristown, NJ.
Is Steven Pisano registered with FINRA?
No. Steven Pisano has no current broker registration.
How can I verify Steven Pisano’s record?
Search CRD 5245139 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Steven Pisano’s full registration record.
