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ES

Edward H. Schoenberger

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CRD#: 414691
ES

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.

Edward Henry Schoenberger was a registered financial professional .

Edward is a previously registered financial professional and started their career in finance in 1969. Edward had worked at 10 firms and has passed the Series 63, Series 1 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 6, 2004 - October 5, 2009

STEVEN L. FALK & ASSOCIATES INC.

BD
CRD#: 14297
LAS VEGAS, NV
Past

October 31, 2003 - March 25, 2004

UNITED SECURITIES ALLIANCE, INC.

BD
CRD#: 36487
GREENWOOD VILLAGE, CO
Past

April 9, 2003 - March 17, 2004

JAMES HAROLD GOODE, JR.

BD
CRD#: 16334
SAN CLEMENTE, CA
Past

April 30, 1997 - December 31, 2002

FINANCIAL AMERICA SECURITIES, INC.

BD
CRD#: 5100
CLEVELAND, OH
Past

September 28, 1994 - October 1, 1995

A. T. BROD & CO. INC.

BD
CRD#: 1319
CLEVELAND, OH
Past

March 16, 1989 - January 25, 1994

SCHOENBERGER FINANCIAL LTD., INC.

BD
CRD#: 23615
PEPPER PIKE, OH
Past

March 11, 1982 - March 1, 1989

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

April 8, 1980 - September 23, 1981

DALEY & COMPANY

BD
CRD#: 6282
Past

February 9, 1971 - December 31, 1979

FIRST CLEVELAND INVESTMENTS, INC.

BD
CRD#: 3928
Past

April 11, 1969 - April 13, 1971

EQUITY SERVICES, INC.

BD
CRD#: 265

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 4/7/1969
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 39
Date: 2/13/1989
Direct Participation Programs Principal Examination

Current Firm

SL
STEVEN L. FALK & ASSOCIATES INC.
STEVEN L. FALK & ASSOCIATES | STEVEN L. FALK & ASSOCIATES, INC. | STEVEN L. FALK & ASSOCIATES INC.

CRD#: 14297 / SEC#: , 8-29688

BD
Terminated by SEC on 07/17/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
Nevada since 11/04/2004
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
FALK, STEVEN LAWRENCEPRESIDENT, SECRETARY, TREASURER, CHIEF COMPLIANCE OFFICER1207626
FLYNN, THOMAS FRANCISFINANCIAL AND OPERATIONS PRINCIPAL210413
MCDERMOTT, DEAN PATRICKMANAGING DIRECTOR, SENIOR REGISTERED OPTIONS PRINCIPAL, COMPLIANCE REGISTERED OPTIONS PRINCIPAL1731834

Disclosures

Regulatory Event6
Arbitration1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

STEVEN L. FALK & ASSOCIATES INC.

CRD#: 14297

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