Marilyn S. Steinmetz
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.
Marilyn Shapiro Steinmetz, who also goes by Marilyn Shapiro, Marilyn Faye Steinmetz, was a registered financial professional .
Marilyn is a previously registered financial professional and started their career in finance in 1983. Marilyn had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2017 - October 16, 2019
WEALTHSPIRE ADVISORS
July 8, 2015 - November 28, 2017
MONEY MATTERS
September 8, 2009 - November 7, 2017
LPL FINANCIAL LLC
March 31, 1989 - October 1, 2009
MUTUAL SERVICE CORPORATION
July 25, 1985 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
April 25, 1985 - June 17, 1985
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 22, 1985 - June 10, 1985
ROBERT W. BAIRD & CO. INCORPORATED
July 20, 1983 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WEALTHSPIRE ADVISORS
CRD#: 126665 / SEC#: 801-62078
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,794 |
| AUM (Assets Under Management) | $ 1,012,843,208 |
Red Flags
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