William C. 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.
William Charles Steinberg was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1968. William had worked at 9 firms and has passed the Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2002 - December 31, 2020
ROSS SECURITIES CORPORATION
April 3, 2000 - December 20, 2001
NATHAN & LEWIS SECURITIES, INC.
March 13, 1997 - February 28, 2000
HSM&R FINANCIAL SERVICES CORPORATION
May 6, 1996 - December 31, 1996
HIMCO DISTRIBUTION SERVICES COMPANY
November 29, 1994 - December 31, 1995
CADARET, GRANT & CO., INC.
January 27, 1972 - August 16, 1994
TOWER SQUARE SECURITIES, INC.
July 13, 1971 - February 27, 1972
PUTNAM FUND DISTRIBUTORS, INC.
January 25, 1971 - March 9, 1972
LEGEND CAPITAL CORPORATION
March 27, 1970 - September 3, 1971
MAYFLOWER SECURITIES CO., INC.
June 11, 1968 - August 16, 1994
TOWER SQUARE SECURITIES, 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: 5/21/1968
Registered Representative ExaminationCurrent Firm
ROSS SECURITIES CORPORATION
CRD#: 113796 / SEC#: , 8-53361
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSS, NORMAN EDMOND | PRESIDENT, CCO, CUSTODIAN | 2258201 |
Red Flags
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