Steven M. Beringer
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 Michael Beringer was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 2 firms and has passed the Series 63, Series 31, Series 22, Series 6 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 1994 - June 12, 2014
GE INVESTMENT DISTRIBUTORS, INC
June 30, 1983 - November 5, 1992
TOWER SQUARE SECURITIES, 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
GE INVESTMENT DISTRIBUTORS, INC
CRD#: 32087 / SEC#: , 8-45710
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GE ASSET MANAGEMENT INCORPORATED | SHAREHOLDER COMMON | 105297 |
| CARROLL, WENDY JEANNE | SECRETARY | 5981481 |
| LAPORTA, JEANNE MARIE | DIRECTOR | 5946908 |
| MITCHELL, MAUREEN BRIDGET | PRESIDENT & DIRECTOR | 2717813 |
| SIMPSON, MATTHEW JULIAN | DIRECTOR | 2638052 |
| STACHE, PAUL GERARD | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER, EXECUTIVE REPRESENTATIVE | 1170097 |
| TSANG, EUNICE YUEN I | FINANCIAL & OPERATIONS PRINCIPAL | 2544900 |
| ZAKRZEWSKI, MATTHEW JOSEPH | DIRECTOR | 6249027 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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