Duane A. Steinhaus
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.
Duane A Steinhaus, who also goes by Duane Albert Steinhaus, was a registered financial professional .
Duane is a previously registered financial professional and started their career in finance in 1993. Duane had worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 12, 2023 - March 31, 2025
RAYMOND JAMES & ASSOCIATES, INC.
May 9, 2023 - March 31, 2025
RAYMOND JAMES & ASSOCIATES, INC.
April 4, 2018 - November 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
April 4, 2018 - November 11, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 18, 2017 - April 11, 2018
J.P. MORGAN SECURITIES LLC
January 11, 2017 - April 11, 2018
J.P. MORGAN SECURITIES LLC
February 3, 2010 - January 4, 2017
WELLS FARGO CLEARING SERVICES, LLC
February 3, 2010 - January 4, 2017
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - February 23, 2010
MORGAN STANLEY
June 1, 2009 - February 23, 2010
MORGAN STANLEY
April 11, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 10, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
January 13, 2004 - May 4, 2006
UBS FINANCIAL SERVICES INC.
September 27, 1995 - May 4, 2006
UBS FINANCIAL SERVICES INC.
June 18, 1993 - May 16, 1995
UBS FINANCIAL SERVICES INC.
April 21, 1993 - June 2, 1993
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 8/31/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
