Carl J. Steigerwald
Professional summary
Carl Jacob Steigerwald III, who also goes by Carl J Steigerwald, Jay Steigerwald III, is a registered financial professional currently at ASHFORD SECURITIES LLC located in Dallas, Texas.
Carl is registered as a RR (Registered Representative) and started their career in finance in 1986. Carl has worked at 7 firms and has passed the Series 63, Series 7TO, Series 22TO, Series 99TO, Series 79TO, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carl Jacob Steigerwald III's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 2020 - Present
ASHFORD SECURITIES LLC
Office #1: 14185 Dallas Parkway, Suite 780, Dallas, TX 75254September 11, 2008 - October 2, 2017
CAREY FINANCIAL, LLC
June 7, 2006 - September 8, 2008
CNL SECURITIES CORP.
February 19, 2004 - October 20, 2005
CNL SECURITIES CORP.
April 30, 1993 - February 24, 1996
RELATED EQUITIES CORPORATION
September 25, 1990 - October 8, 1992
TCC SECURITIES CORPORATION
April 20, 1989 - September 25, 1990
A.S.A. INVESTMENT COMPANY
September 29, 1986 - May 10, 1988
SOUTHMARK CAPITAL RESOURCE
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/18/2020)
(8/18/2020)
(9/21/2020)
(8/19/2020)
(8/19/2020)
(3/12/2020)
(3/6/2020)
(8/18/2020)
(3/10/2020)
(9/18/2020)
(3/5/2020)
(8/18/2020)
(3/9/2020)
(9/14/2020)
(10/16/2020)
(8/18/2020)
(8/18/2020)
(8/18/2020)
(8/28/2020)
(8/18/2020)
(8/4/2020)
(9/25/2020)
(8/26/2020)
(8/20/2020)
(8/18/2020)
(8/20/2020)
(8/18/2020)
(8/18/2020)
(4/15/2020)
(8/18/2020)
(9/21/2020)
(8/18/2020)
(8/24/2020)
(8/18/2020)
(8/18/2020)
(2/19/2020)
(8/18/2020)
(9/15/2020)
(8/20/2020)
(5/28/2020)
(8/18/2020)
(8/18/2020)
(8/31/2020)
(8/18/2020)
(3/4/2020)
(3/10/2020)
(8/18/2020)
(9/24/2020)
(8/18/2020)
(8/18/2020)
(8/18/2020)
(8/18/2020)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/11/2021
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ASHFORD SECURITIES LLC
CRD#: 305330 / SEC#: , 8-70405
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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Company Information
ASHFORD SECURITIES LLC
CRD#: 305330Dallas, TX 75254TRUST BUT VERIFY
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