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RS

Ross H. Steinberg

FORTUNE FINANCIAL SERVICES
Chandler, AZ
Some features on this profile are disabled
CRD#: 3114875
RS

Professional summary

Ross Howard Steinberg, who also goes by Ross Steinberg, is a registered financial professional currently at FORTUNE FINANCIAL SERVICES, INC. located in Chandler, Arizona.

Ross is registered as a RR (Registered Representative) and started their career in finance in 1998. Ross has worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ross Steinberg

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) - BD

Click below to view Ross Howard 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

January 6, 2020 - Present

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
Chandler, AZ
Past

November 1, 2018 - December 17, 2019

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
SCOTTSDALE, AZ
Past

January 3, 2013 - November 8, 2018

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

January 18, 2011 - December 31, 2012

CENTAURUS FINANCIAL, INC.

BD
CRD#: 30833
PHOENIX, AZ
Past

July 26, 2005 - December 31, 2010

FINANCIAL WEST GROUP

BD
CRD#: 16668
RENO, NV
Past

June 4, 2002 - March 30, 2005

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

February 2, 2001 - May 6, 2002

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

December 4, 1998 - January 17, 2001

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/6/2020)
RR
California
(1/6/2020)
RR
Georgia
(1/6/2020)
RR
Hawaii
(1/6/2020)
RR
Oregon
(1/6/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 9/18/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/23/1998
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORTUNE FINANCIAL SERVICES, INC.
FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150 / SEC#: , 8-49727

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
3582 Brodhead Road Suite 202, Monaca, PA 15061
Mailing Address
P.o. Box 238, Monaca, PA 15061
Phone number
(724) 846-2488
Established
Pennsylvania since 10/21/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DANIELS, BLAKE WILLIAMCHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO1285106
DANIELS, BRIAN LEEOWNER1213561
BENTLEY, GREGORY JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER705379
PINTARIC, WILLIAM RICHARD JRCHIEF COMPLIANCE OFFICER
WHITENACK, MITCH LEECHIEF OPERATIONS OFFICER, FINOP, PFO, POO4794021

Disclosures

Regulatory Event4

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.

Company Information

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150Chandler, AZ

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