Bob A. 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.
Bob Allen Steinberg was a registered financial professional .
Bob is a previously registered financial professional and started their career in finance in 1994. Bob had worked at 6 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 1998 - June 9, 1999
DAVID LERNER ASSOCIATES, INC.
December 11, 1997 - May 15, 1998
H.J. MEYERS & CO., INC.
September 26, 1997 - December 10, 1997
MEYERS POLLOCK ROBBINS, INC.
August 25, 1995 - July 8, 1997
HD BROUS & CO., INC.
March 10, 1995 - September 7, 1995
JOSEPHTHAL & CO., INC.
January 21, 1994 - March 13, 1995
STRATTON OAKMONT 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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
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.
