Steven P. Steinberg

THE INVESTMENT HOUSE LLC

PACIFIC GROVE, CA 93950

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CRD#: 2587259

Professional summary

Steven Paul Steinberg is a registered financial advisor currently at THE INVESTMENT HOUSE LLC located in Pacific Grove, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Steven has worked at 7 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Paul Steinberg's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 7, 2012 - Present

THE INVESTMENT HOUSE LLC

Office #1: 650 Lighthouse Avenue Suite 220, Pacific Grove, CA 93950

RIA

CRD#: 163493

PACIFIC GROVE, CA

Past

September 24, 2009 - June 19, 2012

FIRST WESTERN INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 128013

LOS ANGELES, CA

Past

August 11, 2003 - August 10, 2009

GKM ADVISERS, LLC

RIA

CRD#: 127774

PACIFIC GROVE, CA

Past

July 7, 2003 - August 4, 2009

SAMUELS CHASE & CO., INC.

CRD#: 36699

SANTA YSABEL, CA

Past

August 29, 2002 - August 13, 2003

GKM ADVISERS INC.

RIA

CRD#: 108699

PACIFIC GROVE, CA

Past

June 14, 2002 - July 7, 2003

BMO CAPITAL MARKETS CORP.

CRD#: 16686

NEW YORK, NY

Past

April 24, 1995 - June 13, 2002

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

THE INVESTMENT HOUSE LLC

CRD#: 163493 / SEC#: 801-76547

RIA

Registered Investment Advisory firm - (5/10/2012 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(11/7/2012)

IAR

Texas
(9/22/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/27/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/15/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/21/1995

General Securities Representative Examination

Current Firm

THE INVESTMENT HOUSE LLC

CRD#: 163493 / SEC#: 801-76547

RIA

Registered Investment Advisory firm - (5/10/2012 Approved)

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Contact information

Main Address

210 Avenue I Ste C, Redondo Beach, CA 90277

Mailing Address

5940 S. Rainbow Blvd Suite 400 Pmb 57150, Las Vegas, NV 89118-2507

Phone number

(310) 873-3021

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A MARCH 2025 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	556
AUM (Assets Under Management)	$ 1,951,065,000

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.

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Advisor Monitoring

Firm Stability Insights

Steven P. Steinberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Paul Steinberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST WESTERN INVESTMENT MANAGEMENT, INC.

GKM ADVISERS, LLC

SAMUELS CHASE & CO., INC.

GKM ADVISERS INC.

BMO CAPITAL MARKETS CORP.

M.L. STERN & CO., LLC.

Primary Firm SEC Registration

THE INVESTMENT HOUSE LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/27/2002

Series 63

Date: 5/15/1995

Series 7

Date: 4/21/1995

Current Firm

THE INVESTMENT HOUSE LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INVESTMENT HOUSE LLC

TRUST BUT VERIFY

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