Steven A. Meier
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.
Steven Allen Meier, who also goes by Steven Allan Meier, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1982. Steven had worked at 7 firms and has passed the Series 63, Series 7, Series 4, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 1993 - May 21, 1998
FIRST UNION BROKERAGE SERVICES, INC.
March 10, 1989 - March 19, 1991
PRINCETON FINANCIAL GROUP, INC.
September 21, 1988 - January 30, 1989
MERIDIAN, DUNHILL & CO., INC.
January 2, 1987 - January 12, 1990
FITZGERALD, DEARMAN & ROBERTS, INC.
September 12, 1985 - January 2, 1987
EQUITY-ONE CORPORATION
September 20, 1984 - September 20, 1985
R. A. JOHNSON AND COMPANY, INC.
November 24, 1982 - April 16, 1984
MATTHEW R. WHITE INVESTMENT COMPANY 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
Current Firm
FIRST UNION BROKERAGE SERVICES, INC.
CRD#: 8112 / SEC#: , 8-24369
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST UNION NATIONAL BANK | STOCKHOLDER | |
| BONELLI, PAUL ANDREW | SROP | 1538780 |
| FOX, JEFFREY LAWRENCE | CHIEF FINANCIAL OFFICER | 1787925 |
| HANEY, PATRICK LEWIS | CHIEF COMPLIANCE OFFICER | 2565826 |
| HEBNER, DAVID ALLAN | SECRETARY | 2660723 |
| HUBBERT, MARK WILLIAM | CHIEF OPERATIONS OFFICER | 1802805 |
| ISABELLA, MATTHEW | CROP | 2425834 |
| LUDEMAN, DANIEL JAMES | DIRECTOR | |
| MCMULLEN, DONALD ANDREW | DIRECTOR | |
| MOODY, DWIGHT CHARLES | CEO, DIRECTOR, PRESIDENT | 1423176 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
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.
