MS
Michael D. Steele
STEELE CAPITAL MANAGEMENT
Dubuque, IA 52001
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CRD#: 1017847
MS
Professional summary
Michael Daniel Steele is a registered financial advisor currently at STEELE CAPITAL MANAGEMENT, INC. located in Dubuque, Iowa.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Michael has worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Interstate Building, LLLP.; not investment-related; 900 JACKSON ST STE LL2-1, Dubuque, IA 52001; commercial building for rent; passive investor; 2007; 0 hours worked as no responsibilities. 965 Development; not investment-related; 644 Larch Lane, IOWA CITY IA 52245, commercial land for sale; Passive Investor; 2004; 0 hours worked as no responsibilities MS Hawkeye Group; not investment-related; 1000 Main Street, Dubuque, IA 52001; commercial land for sale; Owner; 1 hour; 1 hour; working with real estate agent to sell property North Cascade Road Developers, LLC; not investment-related; 1800 Manson Road, Dubuque, IA 52003; residential land for sale; Passive Investor; 2005; 0 hours worked as no responsibilities RIC Funds; investment-related; 1415 West 22nd Street, Suite 1250; Oak Brook, IL 60523; invests in private businesses; Passive Investor; 0 hours worked as no responsibilities Iowa Hawk Air; not investment-related; 401 2nd Street, Coralville, IA 52241; invest in use of private jet; Passive Investor; 0 hours worked as no responsibilities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Daniel Steele's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 27, 1999 - Present
STEELE CAPITAL MANAGEMENT, INC.
Office #1: 1000 Jackson Street Suite 201, Dubuque, IA 52001RIA
CRD#: 107097
Dubuque, IA
Past
January 27, 1999 - December 31, 2002
STEELE CAPITAL MANAGEMENT, INC.
RIA
CRD#: 107097
DUBUQUE, IA
Past
June 29, 1989 - December 31, 1990
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
September 15, 1984 - February 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
BD
CRD#: 6403
Past
January 26, 1983 - November 15, 2010
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
DUBUQUE, IA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SC
STEELE CAPITAL MANAGEMENT, INC.
STEELE CAPITAL MANAGEMENT, INC.
CRD#: 107097 / SEC#: 801-50636
RIA
Registered Investment Advisory firm - (11/17/1995 Approved)California
Registered Investment Advisory firm - (1/23/2003 Cancelled)Massachusetts
Registered Investment Advisory firm - (11/15/2004 Terminated)Minnesota
Registered Investment Advisory firm - (10/3/2002 Terminated)Nebraska
Registered Investment Advisory firm - (11/19/2004 Terminated)North Carolina
Registered Investment Advisory firm - (11/15/2004 Terminated)Rhode Island
Registered Investment Advisory firm - (4/22/2003 Cancelled)Texas
Registered Investment Advisory firm - (4/11/2003 Cancelled)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Iowa(1/27/1999)
Exams
State Security Law Exam
General Industry/Product Exam
Current Firm
SC
STEELE CAPITAL MANAGEMENT, INC.
STEELE CAPITAL MANAGEMENT, INC.
CRD#: 107097 / SEC#: 801-50636
RIA
Registered Investment Advisory firm - (11/17/1995 Approved)California
Registered Investment Advisory firm - (1/23/2003 Cancelled)Massachusetts
Registered Investment Advisory firm - (11/15/2004 Terminated)Minnesota
Registered Investment Advisory firm - (10/3/2002 Terminated)Nebraska
Registered Investment Advisory firm - (11/19/2004 Terminated)North Carolina
Registered Investment Advisory firm - (11/15/2004 Terminated)Rhode Island
Registered Investment Advisory firm - (4/22/2003 Cancelled)Texas
Registered Investment Advisory firm - (4/11/2003 Cancelled)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1000 Jackson Street Suite 201, Dubuque, IA 52001
Mailing Address
Phone number
(563) 588-2097
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (23 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,184 |
| AUM (Assets Under Management) | $ 3,030,626,319 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
