Steve W. Rosenbaum
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.
Steve Wayne Rosenbaum, who also goes by Steve W Rosenbaum, Steve Rosenbaum, Steven Wayne Rosenbaum, was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 1993. Steve had worked at 10 firms and has passed the Series 65, Series 63, Series 22TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2026 - March 16, 2026
TEXAKOMA FINANCIAL, INC.
March 17, 2011 - January 4, 2019
FS INVESTMENT SOLUTIONS, LLC
September 17, 2009 - March 17, 2011
STIRA CAPITAL MARKETS GROUP, LLC
January 1, 2007 - May 27, 2009
RIVERSOURCE DISTRIBUTORS, INC.
May 14, 2004 - December 31, 2006
IDS LIFE INSURANCE COMPANY
May 14, 2004 - January 1, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 2001 - April 26, 2004
TOUCHSTONE SECURITIES, LLC
May 3, 2000 - April 30, 2001
ALLSTATE FINANCIAL SERVICES, LLC
February 15, 1995 - January 11, 2000
FIRST FINANCIAL SECURITIES OF AMERICA, INC.
January 4, 1993 - March 17, 1998
AMERICAN FIDELITY SECURITIES, 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
Series 22TO
Date: 1/29/2026
Direct Participation Programs Representative ExaminationCurrent Firm
TEXAKOMA FINANCIAL, INC.
CRD#: 16910 / SEC#: , 8-34706
Contact information
FINRA licenses (20 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KENNEDY, DEAN RICHARD | OWNER/PRINCIPAL | 1268230 |
| BOYD, ROBYN LAUREL | PRINCIPAL FINANCIAL OFFICER | 7570200 |
| KEAVENY, JAMIE MICHAEL | EXECUTIVE VICE PRESIDENT/DIRECTOR/TREASURER | 7137725 |
| LATORRE, STEPHEN JOHN | PRESIDENT/DIRECTOR/SECRETARY | 3009003 |
| MOORE, ASHLEE ELIZABETH | PRINCIPAL OPERATIONS OFFICER | 7907461 |
| MOORE, ASHLEE ELIZABETH | CCO | 7907461 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
