Robert S. 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.
Robert S Steiner, who also goes by Bob Steiner, Robert Steiner, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1983. Robert had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55 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
June 5, 2014 - March 25, 2015
ALLSTATE FINANCIAL ADVISORS, LLC
June 4, 2014 - March 25, 2015
ALLSTATE FINANCIAL SERVICES, LLC
October 1, 2012 - October 7, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - October 7, 2013
J.P. MORGAN SECURITIES LLC
August 26, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 26, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 13, 2009 - March 2, 2011
NEW ENGLAND SECURITIES
April 21, 2009 - March 2, 2011
NEW ENGLAND SECURITIES
September 18, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2008 - February 13, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 1997 - February 20, 2008
BANC OF AMERICA SECURITIES LLC
April 2, 1987 - October 1, 1997
MONTGOMERY SECURITIES
June 22, 1983 - April 12, 1988
PERSHING LLC
Primary Firm SEC Registration
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
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 55
Date: 6/16/2007
Limited Representative-Equity Trader ExamCurrent Firm
ALLSTATE FINANCIAL ADVISORS, LLC
CRD#: 109524 / SEC#: 801-68510
Contact information
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 280 |
| AUM (Assets Under Management) | $ 82,015,793 |
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.
