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SD

Steven H. Dustmann

CONSOLIDATED FINANCIAL INVESTMENTS
Saint Louis, MO 63122
Some features on this profile are disabled
CRD#: 2099276
SD

Professional summary

Steven Howard Dustmann is a registered financial professional currently at CONSOLIDATED FINANCIAL INVESTMENTS, INC. located in Saint Louis, Missouri.

Steven is registered as a RR (Registered Representative) and started their career in finance in 1990. Steven has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 53, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Steven Howard Dustmann's CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 21, 2020 - Present

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

Office #1: 10097 Manchester Road Suite 101, Saint Louis, MO 63122
BD
CRD#: 18810
Saint Louis, MO
Past

July 2, 1992 - May 11, 2020

MCCOURTNEY-BRECKENRIDGE & COMPANY

BD
CRD#: 2708
ST. LOUIS, MO
Past

December 5, 1991 - May 28, 1992

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY
Past

December 14, 1990 - June 10, 1991

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Illinois
(4/21/2020)
RR
Missouri
(4/21/2020)
RR
Virginia
(5/7/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/22/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/30/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/12/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/17/2023
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/20/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CONSOLIDATED FINANCIAL INVESTMENTS, INC.
CONSOLIDATED FINANCIAL INVESTMENTS, INC. | USA MORTGAGE SECURITIES, INC.

CRD#: 18810 / SEC#: , 8-37004

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
222 North Meramec Avenue, Clayton, MO 63105-3702
Mailing Address
222 North Meramec Avenue, Clayton, MO 63105-3702
Phone number
(314) 727-1177
Established
Missouri since 10/12/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (17 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STIFFELMAN, ALAN LOUISCHIEF COMPLIANCE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD1351661
MCCORMICK, JOSEPH ASHAREHOLDER
EVENS, RONALD GENESHAREHOLDER
BARDENHEIER, CARL CHRISTOPHER JRVICE PRESIDENT AND SECRETARY1138381

Disclosures

Regulatory Event3

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.

Company Information

CONSOLIDATED FINANCIAL INVESTMENTS, INC.

CRD#: 18810Saint Louis, MO 63122

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