Barbara T. Steiner
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.
Barbara Trudy Steiner, who also goes by Barbara Trudy Schmidt, Barbara Schmidt, Barbara Steiner, was a registered financial professional .
Barbara is a previously registered financial professional and started their career in finance in 1970. Barbara had worked at 11 firms and has passed the Series 63, Series 87, Series 7, PC, Series 1, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2001 - November 6, 2013
PORTALES PARTNERS, LLC
March 31, 1997 - October 8, 2001
MITCHELL SECURITIES, INC.
July 29, 1991 - January 6, 1997
UBS SECURITIES LLC
April 18, 1990 - May 2, 1991
BARCLAYS DE ZOETE WEDD INCORPORATED
November 20, 1984 - March 13, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
July 26, 1984 - December 26, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 12, 1978 - July 20, 1984
CIBC WORLD MARKETS CORP.
February 22, 1978 - October 20, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 1, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
March 20, 1973 - June 11, 1973
December 1, 1970 - March 10, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
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
PC
Date: 5/1/1977
AMEX Put and Call ExamSeries 1
Date: 2/10/1969
Registered Representative ExaminationSeries 8
Date: 12/19/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PORTALES PARTNERS, LLC
CRD#: 112311 / SEC#: , 8-53236
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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