Steve G. Rader
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 Gale Rader, who also goes by Steve G Rader, was a registered financial advisor .
Steve is a previously registered financial advisor and started their career in finance in 1993. Steve had worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2008 - October 10, 2008
TD AMERITRADE, INC.
February 25, 2008 - October 10, 2008
TD AMERITRADE, INC.
February 25, 2008 - October 10, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 9, 2007 - November 24, 2007
PRIVATE WEALTH MANAGEMENT, INC.
December 4, 2002 - August 22, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 2, 2002 - August 22, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 18, 1995 - January 10, 2002
CHARLES SCHWAB & CO., INC.
February 16, 1993 - September 27, 1995
CETERA WEALTH SERVICES, LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
