Steven A. Hoostal
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 Arthur Hoostal, who also goes by Steve Hoostal, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1986. Steven had worked at 16 firms and has passed the Series 65, 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
May 17, 2016 - August 9, 2019
MISSIONSQUARE RETIREMENT
June 30, 2015 - August 9, 2019
MISSIONSQUARE INVESTMENT SERVICES
December 1, 2010 - June 12, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
November 23, 2009 - October 6, 2010
VALIC FINANCIAL ADVISORS, INC.
November 2, 2009 - October 6, 2010
VALIC FINANCIAL ADVISORS, INC.
September 17, 2008 - November 19, 2009
ALLSTATE FINANCIAL ADVISORS, LLC
October 4, 2006 - November 12, 2009
ALLSTATE FINANCIAL SERVICES, LLC
August 7, 2006 - September 29, 2006
BANCWEST INVESTMENT SERVICES, INC.
May 17, 2006 - September 29, 2006
BANCWEST INVESTMENT SERVICES, INC.
September 12, 2005 - May 17, 2006
CETERA INVESTMENT SERVICES LLC
September 12, 2005 - May 17, 2006
CETERA INVESTMENT SERVICES LLC
June 28, 2004 - September 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 28, 2004 - September 19, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2003 - June 18, 2004
HORACE MANN INVESTORS, INC.
September 23, 2002 - January 2, 2003
EMERALD BAY CAPITAL MANAGEMENT, LLC
August 31, 2001 - September 23, 2002
WADDELL & REED
August 24, 2001 - September 23, 2002
WADDELL & REED
April 19, 2000 - May 21, 2001
BIRCHTREE FINANCIAL SERVICES LLC
August 6, 1996 - January 14, 2000
MONY SECURITIES CORPORATION
February 1, 1995 - July 5, 1995
DWS DISTRIBUTORS, INC.
September 27, 1993 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
May 8, 1986 - June 1, 1993
KEMPER FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
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
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
