William R. Steinbeck
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.
William Robert Steinbeck, who also goes by William Robert Steinbeck III, William Robert Steinbeck, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1999. William had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2022 - December 22, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 21, 2022 - December 21, 2022
FIDELITY BROKERAGE SERVICES LLC
August 17, 2012 - February 28, 2022
CHARLES SCHWAB & CO., INC.
August 16, 2012 - February 28, 2022
CHARLES SCHWAB & CO., INC.
October 18, 2006 - February 15, 2011
T. ROWE PRICE ADVISORY SERVICES, INC.
November 15, 2004 - February 15, 2011
T. ROWE PRICE INVESTMENT SERVICES, INC.
June 1, 2001 - October 9, 2003
NYLIFE SECURITIES LLC
June 15, 2000 - February 1, 2001
METROPOLITAN LIFE INSURANCE COMPANY
June 15, 2000 - February 1, 2001
MSI FINANCIAL SERVICES, INC.
October 29, 1999 - April 7, 2000
HAPOALIM SECURITIES USA, INC.
June 17, 1999 - October 29, 1999
ROYCE INVESTMENT GROUP, 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
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
