Risa F. Steinberg
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.
Risa F Steinberg, who also goes by Risa F Steinberg, Risa Fran Steinberg, Risa Steinberg, Rissa F Steinberg, was a registered financial professional .
Risa is a previously registered financial professional and started their career in finance in 1991. Risa had worked at 16 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 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 22, 2025 - September 19, 2025
LPL FINANCIAL LLC
January 24, 2022 - April 18, 2024
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
July 8, 2021 - August 30, 2021
MAN INVESTMENTS INC.
February 27, 2020 - September 22, 2020
DWS DISTRIBUTORS, INC.
July 15, 2014 - September 3, 2019
J.P. MORGAN SECURITIES LLC
February 4, 2014 - July 29, 2014
EQUITY SERVICES, INC.
November 8, 2012 - November 7, 2013
HORNOR, TOWNSEND & KENT, LLC
February 10, 2012 - September 12, 2012
EQUITABLE ADVISORS, LLC
February 22, 2011 - August 31, 2011
MORGAN STANLEY
February 22, 2011 - August 31, 2011
MORGAN STANLEY
May 29, 2007 - June 10, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - June 10, 2010
CITIGROUP GLOBAL MARKETS INC.
February 2, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 10, 2000 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 13, 1998 - February 8, 2000
DALTON KENT SECURITIES GROUP, INC.
June 18, 1998 - July 27, 1998
MILLENNIUM SECURITIES CORP.
November 1, 1994 - February 9, 1998
BILTMORE SECURITIES, INC.
April 21, 1994 - October 17, 1994
J. B. HANAUER & CO.
August 24, 1993 - March 22, 1994
BILTMORE SECURITIES, INC.
May 16, 1991 - August 24, 1993
STRATTON OAKMONT INC.
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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 99TO
Date: 5/22/2025
Operations Professional ExaminationCurrent Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
