David 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.
David Joseph Steigerwald, who also goes by David J Loomis, David Joseph Loomis, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2013 - November 19, 2024
DREXEL HAMILTON, LLC
July 17, 2008 - July 26, 2011
ALLIANCEBERNSTEIN INVESTMENTS, INC.
January 25, 2007 - June 27, 2008
THE RIDERWOOD GROUP INCORPORATED
June 14, 1999 - December 17, 2004
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - June 14, 1999
DB ALEX. BROWN LLC
March 11, 1992 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
January 27, 1989 - March 17, 1990
LIT AMERICA, INC.
March 19, 1985 - April 1, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 55
Date: 4/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
Red Flags
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