Steven E. Schneiderman
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.
Steven Eric Schneiderman, who also goes by Steve E Schneiderman, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 7 firms and has passed the Series 63, SIE 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
April 5, 2016 - November 2, 2016
ALLEN C. EWING & CO.
May 30, 2013 - January 3, 2014
BENJAMIN & JEROLD BROKERAGE I, LLC
July 7, 2008 - October 4, 2011
RBC CAPITAL MARKETS, LLC
July 7, 2008 - October 4, 2011
RBC CAPITAL MARKETS, LLC
October 10, 2006 - June 27, 2008
UBS FINANCIAL SERVICES INC.
October 15, 2004 - June 27, 2008
UBS FINANCIAL SERVICES INC.
December 21, 1999 - October 18, 2004
MORGAN STANLEY DW INC.
February 10, 1997 - December 13, 1999
PRUDENTIAL EQUITY GROUP, LLC
March 29, 1993 - January 24, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
ALLEN C. EWING & CO.
CRD#: 26102 / SEC#: , 8-42393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPHA STREET HOLDINGS LLC | HOLDING COMPANY | |
| JACKSON, DAVID WHITNEY JR | PRESIDENT - CHIEF COMPLIANCE OFFICER | 1213535 |
Disclosures
| Regulatory Event | 10 |
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.
