AS
Alex Shtaynberger
LAIDLAW WEALTH MANAGEMENT LLC
New York, NY 10175
Some features on this profile are disabled
CRD#: 2077298
AS
Professional summary
Alex Shtaynberger, who also goes by Oleg Shtaynberger, is a registered financial advisor currently at LAIDLAW WEALTH MANAGEMENT LLC located in New York, New York and LAIDLAW & COMPANY (UK) LTD. located in New York, New York.
Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Alex has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, Series 79TO, SIE, Series 55, Series 7, Series 14, Series 10, Series 9, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Oleg Shtaynberger
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alex Shtaynberger's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 19, 2010 - Present
LAIDLAW WEALTH MANAGEMENT LLC
Office #1: 521 Fifth Ave 12th Floor, New York, NY 10175RIA
CRD#: 150040
New York, NY
Current
July 26, 2002 - Present
LAIDLAW & COMPANY (UK) LTD.
Office #1: 521 5th Avenue 12th Floor, New York, NY 10175Office #2: 680 E. Colorado Boulevard Suite 180, Pasadena, CA 91101BD
CRD#: 119037
New York, NY
Past
March 30, 1999 - October 29, 2004
SANDS BROTHERS & CO., LTD.
BD
CRD#: 26816
NEW YORK, NY
Past
January 6, 1992 - August 26, 1998
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LW
LAIDLAW WEALTH MANAGEMENT LLC
LAIDLAW ASSET MANAGEMENT | NAPLES WEALTH PLANNING | LAIDLAW WEALTH MANAGEMENT LLC | LAIDLAW HOLDINGS, PLC | LAIDLAW DIRECT | LAIDLAW BLUE | LAIDLAW ASSET MANAGEMENT, LLC. | LAIDLAW ASSET MANAGEMENT, LLC
CRD#: 150040 / SEC#: 801-112592
RIA
Registered Investment Advisory firm - (3/9/2018 Approved)New Jersey
Registered Investment Advisory firm - (4/13/2018 Terminated)New York
Registered Investment Advisory firm - (4/5/2018 Terminated)North Carolina
Registered Investment Advisory firm - (4/5/2018 Terminated)Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/29/2004)
RR
Alaska(2/24/2009)
RR
Arizona(11/23/2004)
RR
Arkansas(10/28/2004)
RR
California(10/28/2004)
RR
Colorado(11/9/2004)
RR
Connecticut(10/29/2004)
RR
Delaware(10/29/2004)
RR
District of Columbia(11/24/2004)
RR
Florida(10/29/2004)
RR
Georgia(10/29/2004)
RR
Hawaii(1/31/2005)
RR
Idaho(10/28/2004)
RR
Illinois(11/3/2004)
RR
Indiana(11/9/2004)
RR
Iowa(10/28/2004)
RR
Kansas(11/1/2004)
RR
Kentucky(11/4/2004)
RR
Louisiana(11/4/2004)
RR
Maine(9/2/2009)
RR
Maryland(10/28/2004)
RR
Massachusetts(11/5/2004)
RR
Michigan(11/1/2004)
RR
Minnesota(11/4/2004)
RR
Mississippi(11/10/2004)
RR
Missouri(8/10/2005)
RR
Montana(10/28/2004)
RR
Nebraska(11/16/2004)
RR
Nevada(11/4/2004)
RR
New Hampshire(10/28/2004)
RR
New Jersey(10/28/2004)
IAR
New Jersey(4/19/2010)
RR
New Mexico(11/2/2004)
RR
New York(10/29/2004)
IAR
New York(3/23/2021)
RR
North Carolina(11/1/2004)
RR
North Dakota(11/18/2004)
RR
Ohio(10/28/2004)
RR
Oklahoma(10/28/2004)
RR
Oregon(10/28/2004)
RR
Pennsylvania(11/4/2004)
RR
Puerto Rico(10/29/2004)
RR
Rhode Island(11/8/2004)
RR
South Carolina(10/29/2004)
RR
South Dakota(11/2/2004)
RR
Texas(11/1/2004)
RR
Utah(10/28/2004)
RR
Vermont(11/2/2004)
RR
Virgin Islands(9/21/2009)
RR
Virginia(10/28/2004)
RR
Washington(10/28/2004)
RR
West Virginia(10/28/2004)
RR
Wisconsin(1/25/2005)
RR
Wyoming(10/28/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/6/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/28/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
LW
LAIDLAW WEALTH MANAGEMENT LLC
LAIDLAW ASSET MANAGEMENT | NAPLES WEALTH PLANNING | LAIDLAW WEALTH MANAGEMENT LLC | LAIDLAW HOLDINGS, PLC | LAIDLAW DIRECT | LAIDLAW BLUE | LAIDLAW ASSET MANAGEMENT, LLC. | LAIDLAW ASSET MANAGEMENT, LLC
CRD#: 150040 / SEC#: 801-112592
RIA
Registered Investment Advisory firm - (3/9/2018 Approved)New Jersey
Registered Investment Advisory firm - (4/13/2018 Terminated)New York
Registered Investment Advisory firm - (4/5/2018 Terminated)North Carolina
Registered Investment Advisory firm - (4/5/2018 Terminated)Texas
Registered Investment Advisory firm - (4/5/2018 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
521 Fifth Ave 12th Floor, New York, NY 10175
Mailing Address
Phone number
(212) 953-4910
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 235 |
| AUM (Assets Under Management) | $ 114,764,475 |
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.
