Robert L. Steen
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.
Robert Lyle Steen, CFP® was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2000. Robert had worked at 5 firms and has passed the Series 66, Series 7TO, SIE 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
June 13, 2025 - June 27, 2025
USAA INVESTMENT SERVICES COMPANY
January 8, 2018 - July 8, 2020
USAA INVESTMENT SERVICES COMPANY
June 4, 2014 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
June 4, 2014 - June 18, 2020
USAA FINANCIAL ADVISORS, INC.
October 24, 2013 - June 4, 2014
USAA INVESTMENT SERVICES COMPANY
October 24, 2013 - June 4, 2014
USAA INVESTMENT SERVICES COMPANY
November 29, 2004 - January 29, 2014
USAA FINANCIAL PLANNING SERVICES
November 23, 2004 - January 29, 2014
USAA FINANCIAL ADVISORS, INC.
January 31, 2001 - November 3, 2004
EQUITABLE ADVISORS, LLC
January 31, 2001 - November 3, 2004
EQUITABLE ADVISORS, LLC
August 25, 2000 - January 10, 2001
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
Series 7TO
Date: 2/21/2024
General Securities Representative ExaminationCurrent Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
