Steven A. Schneider
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 Alan Schneider, who also goes by Steve A Schneider, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1984. Steven had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2017 - July 25, 2017
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 30, 2006 - August 30, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 24, 2004 - July 25, 2017
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 14, 2003 - August 31, 2004
LEGEND EQUITIES CORPORATION
July 17, 1992 - January 21, 2003
LINCOLN INVESTMENT
February 12, 1990 - August 29, 1990
OSAIC FA, INC.
February 12, 1990 - December 19, 1991
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 25, 1986 - January 2, 1990
TOWER SQUARE SECURITIES, INC.
February 25, 1986 - September 2, 1986
INLAND SECURITIES CORPORATION
June 15, 1984 - March 7, 1986
FRUCHTHENDLER FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
