Steven B. Schneider
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 Bernhard Schneider was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 2, 2016 - June 10, 2016
COMMERCE ONE FINANCIAL INC.
October 16, 2012 - March 24, 2014
BRASIL PLURAL SECURITIES LLC
November 16, 2000 - June 19, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2000 - October 13, 2000
PERSHING LLC
June 28, 1996 - February 4, 1999
SANTANDER INVESTMENT SECURITIES INC.
July 13, 1993 - May 9, 1996
LEHMAN BROTHERS 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 55
Date: 8/14/2000
Limited Representative-Equity Trader ExamCurrent Firm
COMMERCE ONE FINANCIAL INC.
CRD#: 100340 / SEC#: , 8-52032
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
