Susan P. Steiner
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.
Susan Patricia Steiner, who also goes by Susan Patricia Russell Lawerenz, Susan P Lawrenz, Susan P Russell, Sue Steiner, Susan Lawerenz Steiner, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1982. Susan had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2007 - March 7, 2018
UBS FINANCIAL SERVICES INC.
February 9, 2007 - March 7, 2018
UBS FINANCIAL SERVICES INC.
March 4, 2003 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
February 14, 2003 - February 9, 2007
KEYBANC CAPITAL MARKETS INC.
October 5, 2001 - February 10, 2003
VISION INVESTMENT SERVICES, INC.
September 14, 2001 - February 10, 2003
NORTHERN TRUST SECURITIES, INC.
September 14, 2001 - February 10, 2003
NORTHERN TRUST SECURITIES, INC.
December 24, 1990 - September 7, 2001
FIRSTAR INVESTMENT SERVICES,INC.
December 7, 1989 - December 31, 1990
VESTAX SECURITIES CORPORATION
September 30, 1988 - December 6, 1989
U.S. BANCORP ADVISORS, LLC
March 21, 1986 - October 8, 1988
NEW ENGLAND SECURITIES
November 17, 1982 - May 2, 1985
SENTRY EQUITY SERVICES, INC.
Primary Firm SEC Registration
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
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
UBS FINANCIAL SERVICES INC.
CRD#: 8174 / SEC#: 801-7163, 8-16267
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC. | OWNER | |
| CAMACHO, MICHAEL ALAN | PRESIDENT | 2907298 |
| FRANCOMANO, LISA M. | CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS | 2263875 |
| MATTONE, RALPH | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MOZER, PETER | MANAGING DIRECTOR | 2523858 |
| MUNFA, LAUREN | CHIEF COMPLIANCE OFFICER | 4431011 |
| SAKAI, KIYE | GENERAL COUNSEL | 7451987 |
| SOMMA, JOSEPH | PRINCIPAL OPERATIONS OFFICER | 2219496 |
Regulatory assets under management
| Total Number of Accounts | 1,134,923 |
| AUM (Assets Under Management) | $ 808,822,670,899 |
Disclosures
| Regulatory Event | 475 |
| Civil Event | 5 |
| Arbitration | 443 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/26/2025 | ||
| 05/15/2024 | ||
| 12/19/2023 |
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.
