Richard H. Steinberg
Professional summary
Richard Hal Steinberg was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Richard had worked at 4 firms, which includes J. W. GANT & ASSOCIATES INC., TRI-SECURITIES INC., THE STUART-JAMES COMPANY INCORPORATED, VANTAGE SECURITIES OF COLORADO INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 1985 - August 7, 1986
J. W. GANT & ASSOCIATES, INC.
September 26, 1984 - July 24, 1985
TRI-SECURITIES, INC.
August 22, 1984 - October 9, 1984
THE STUART-JAMES COMPANY, INCORPORATED
November 24, 1982 - August 24, 1984
VANTAGE SECURITIES OF COLORADO, INC.
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
J. W. GANT & ASSOCIATES, INC.
CRD#: 7963 / SEC#: , 8-30910
Contact information
Documents
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.
