Brian S. Steineman
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.
Brian Scott Steineman was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1994. Brian had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 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, 2013 - September 15, 2015
TD AMERITRADE, INC.
March 4, 2013 - September 15, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 4, 2013 - September 15, 2015
TD AMERITRADE, INC.
August 19, 2008 - November 15, 2012
CHARLES SCHWAB & CO., INC.
August 19, 2008 - November 15, 2012
CHARLES SCHWAB & CO., INC.
August 18, 1997 - July 18, 2008
STRATEGIC ADVISERS LLC
February 22, 1994 - July 18, 2008
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
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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
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