Carl J. Steigerwald
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.
Carl Jacob Steigerwald III, who also goes by Carl J Steigerwald, Jay Steigerwald III, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1986. Carl had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2020 - March 3, 2026
ASHFORD SECURITIES LLC
September 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
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Visual representation of state registrations
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 ExaminationCurrent Firm
ASHFORD SECURITIES LLC
CRD#: 305330 / SEC#: , 8-70405
Contact information
FINRA licenses (4 States and Territories)
Red Flags
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