Assunta A. 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.
Assunta Ann Steiner, who also goes by Assunta Ann Arthur, Suzanne Ann Arthur, Suzanne Arthur, Suzanne Steiner, was a registered financial professional .
Assunta is a previously registered financial professional and started their career in finance in 1983. Assunta had worked at 7 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 29, 1999 - December 31, 2001
SIGNATURE ESTATE SECURITIES, LLC
February 17, 1998 - November 6, 1998
WS GRIFFITH SECURITIES, INC.
September 13, 1994 - December 31, 1997
CFG SECURITIES CORP.
August 23, 1989 - December 15, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 23, 1989 - December 15, 1992
SIGNATOR INVESTORS, INC.
August 24, 1988 - July 31, 1989
OSAIC FS, INC.
May 18, 1988 - September 7, 1988
THE O.N. EQUITY SALES COMPANY
September 9, 1983 - December 15, 1992
SIGNATOR INVESTORS, 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
SIGNATURE ESTATE SECURITIES, LLC
CRD#: 18923 / SEC#: , 8-37065
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
