David L. Steinberg
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Lee Steinberg was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1982. David had worked at 4 firms and has passed the Series 65, Series 63, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2009 - December 31, 2018
DLS CAPITAL MANAGEMENT, LLC
August 9, 1989 - June 16, 1999
MORGAN STANLEY & CO. LLC
December 9, 1988 - August 16, 1989
UBS FINANCIAL SERVICES INC.
March 23, 1984 - June 16, 1999
MORGAN STANLEY & CO. LLC
January 28, 1982 - April 9, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 1/26/1982
Interest Rate Options ExaminationCurrent Firm
DLS CAPITAL MANAGEMENT, LLC
CRD#: 151217 / SEC#: 801-70534
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
