Robert W. Steele
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.
Robert Wendell Steele, who also goes by Bob Steele, Robert W Steele, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 6 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 15, 2012 - August 7, 2013
AMERICAN EQUITY INVESTMENT CORPORATION
January 10, 2005 - October 20, 2011
QUESTAR ASSET MANAGEMENT, INC.
January 27, 2004 - December 31, 2005
QUESTAR CAPITAL CORPORATION
November 10, 1998 - October 20, 2011
QUESTAR CAPITAL CORPORATION
August 8, 1997 - November 17, 1998
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
April 1, 1993 - August 11, 1997
MARINER FINANCIAL SERVICES, INC.
April 21, 1987 - July 27, 1993
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
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.
