Steven L. Loban
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 Lee Loban, who also goes by Steve Loban, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2012 - November 6, 2020
AST INVESTMENT SERVICES, INC.
April 24, 2012 - May 6, 2026
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
October 25, 2011 - April 12, 2012
STRATEGIC ADVISERS LLC
October 21, 2011 - April 11, 2012
FIDELITY BROKERAGE SERVICES LLC
November 16, 2006 - October 6, 2011
AST INVESTMENT SERVICES, INC.
November 14, 2006 - October 6, 2011
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
July 29, 2005 - October 31, 2006
CHASE INVESTMENT SERVICES CORP.
July 29, 2005 - October 31, 2006
CHASE INVESTMENT SERVICES CORP.
July 27, 2004 - July 11, 2005
IFMG SECURITIES, INC.
July 27, 2004 - July 11, 2005
IFMG SECURITIES, INC.
November 18, 2002 - July 1, 2004
QUICK & REILLY, INC.
November 18, 2002 - July 1, 2004
QUICK & REILLY, INC.
March 21, 1997 - October 29, 2002
WRIGHT INVESTORS SERVICE INC
June 9, 1994 - October 3, 2002
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
March 7, 1994 - May 12, 1994
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
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
AST INVESTMENT SERVICES, INC.
CRD#: 108897 / SEC#: 801-40532
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27 |
| AUM (Assets Under Management) | $ 93,541,799,206 |
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.
