Steven H. Finkel
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 Harold Finkel was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 7 firms and has passed the 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
September 25, 2012 - December 31, 2015
WESTMINSTER FINANCIAL SECURITIES, INC.
October 1, 2009 - October 6, 2010
LPL FINANCIAL LLC
February 9, 2007 - December 19, 2007
MAIN STREET SECURITIES, LLC
March 23, 1999 - February 25, 2005
CAPITAL BROKERAGE CORPORATION
April 20, 1998 - March 4, 1999
POLARIS FINANCIAL SERVICES, INC.
August 6, 1990 - June 3, 1996
INVEST FINANCIAL CORPORATION
May 26, 1987 - August 8, 1990
KEMPER FINANCIAL SERVICES, INC.
March 19, 1985 - December 13, 1985
INVEST FINANCIAL CORPORATION
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
WESTMINSTER FINANCIAL SECURITIES, INC.
CRD#: 20677 / SEC#: , 8-38426
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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