Thomas M. Steirer
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.
Thomas M Steirer was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2000. Thomas had worked at 9 firms and has passed the Series 66, Series 63 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
November 5, 2013 - May 21, 2014
CSSC BROKERAGE SERVICES, INC.
October 30, 2013 - May 21, 2014
TRUSTEE EMPOWERMENT & PROTECTION, INC.
August 24, 2011 - November 22, 2011
RAYMOND C. FORBES & CO., INC.
April 19, 2011 - November 2, 2011
NATIVEONE INSTITUTIONAL TRADING, LLC.
August 6, 2004 - December 7, 2004
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
August 2, 2002 - August 26, 2002
RED-HORSE SECURITIES, LLC
December 4, 2001 - August 5, 2002
REDWOOD BROKERAGE LLC
February 13, 2001 - October 25, 2001
NATIVE NATIONS SECURITIES, INC.
August 15, 2000 - March 13, 2001
NATIVE NATIONS SECURITIES, 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
Current Firm
CSSC BROKERAGE SERVICES, INC.
CRD#: 141630 / SEC#: , 8-67401
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CSSC SERVICES AND SOLUTIONS, INC. | OWNER | |
| RICH, GREGORY ROBERT | CHIEF COMPLIANCE OFFICER | 1316406 |
Disclosures
| Regulatory Event | 1 |
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.
