Joseph J. Steuert
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.
Joseph John Steuert was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1974. Joseph had worked at 4 firms and has passed the Series 99TO, SIE, Series 1 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
March 8, 2018 - June 21, 2023
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
January 12, 1990 - June 22, 2016
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
August 27, 1987 - May 3, 1989
UBS FINANCIAL SERVICES INC.
September 5, 1974 - January 19, 1987
E. F. HUTTON & COMPANY 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 8/28/1974
Registered Representative ExaminationSeries 40
Date: 12/19/1977
Registered Principal ExaminationCurrent Firm
THE TRANSPORTATION GROUP (SECURITIES) LIMITED
CRD#: 286288 / SEC#: , 8-69878
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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.
