Michael A. Steinberg
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.
Michael Alan Steinberg was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1969. Michael had worked at 6 firms and has passed the Series 65, Series 63, Series 1, Series 4, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 1983 - March 19, 2007
MICHAEL A. STEINBERG & COMPANY, INC.
January 18, 1978 - July 22, 1980
LOEB PARTNERS
October 18, 1977 - March 1, 1983
SLOATE, WEISMAN, MURRAY & COMPANY, INC.
January 4, 1977 - January 18, 1978
LOEB RHOADES & CO. INC.
October 31, 1972 - October 25, 1977
LOEB, RHOADES & CO., INCORPORATED
May 1, 1969 - January 4, 1977
LOEB, RHOADES & CO. 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
Series 1
Date: 4/28/1969
Registered Representative ExaminationSeries 40
Date: 3/18/1975
Registered Principal ExaminationCurrent Firm
MICHAEL A. STEINBERG & COMPANY, INC.
CRD#: 13138 / SEC#: , 8-28642
Contact information
Documents
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.
