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MS

Michael F. Steffan

EQUITABLE DISTRIBUTORS
Charlotte, NC 28262
Some features on this profile are disabled
CRD#: 4706641
MS

Professional summary

Michael Fisher Steffan JR is a registered financial professional currently at EQUITABLE DISTRIBUTORS, LLC located in Charlotte, North Carolina.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2005. Michael has worked at 6 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

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) - BD

Click below to view Michael Fisher Steffan JR's CRS (Customer Relationship Summary).

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

Current

February 22, 2021 - Present

EQUITABLE DISTRIBUTORS, LLC

Office #1: 8501 Ibm Drive Suite 150, Charlotte, NC 28262
BD
CRD#: 25900
Charlotte, NC
Past

December 6, 2018 - June 2, 2020

BIDMONI

RIA
CRD#: 294921
New Orleans, LA
Past

December 4, 2013 - May 18, 2018

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

January 2, 2013 - November 22, 2013

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

January 1, 2009 - January 2, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
HARTFORD, CT
Past

February 28, 2008 - January 1, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
HARTFORD, CT
Past

September 9, 2005 - November 26, 2007

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
MEMPHIS, TN
Past

August 9, 2005 - November 26, 2007

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
MEMPHIS, TN

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alaska
(5/10/2024)
RR
Arizona
(5/22/2024)
RR
Arkansas
(5/10/2024)
RR
California
(2/22/2021)
RR
Colorado
(5/9/2024)
RR
Hawaii
(8/9/2024)
RR
Idaho
(5/9/2024)
RR
Illinois
(5/16/2024)
RR
Indiana
(5/13/2024)
RR
Iowa
(5/17/2024)
RR
Kansas
(5/14/2024)
RR
Kentucky
(5/15/2024)
RR
Louisiana
(2/22/2021)
RR
Michigan
(5/10/2024)
RR
Minnesota
(5/9/2024)
RR
Missouri
(8/20/2024)
RR
Montana
(2/22/2021)
RR
Nebraska
(5/9/2024)
RR
Nevada
(5/8/2024)
RR
New Mexico
(2/26/2021)
RR
North Dakota
(5/13/2024)
RR
Ohio
(5/9/2024)
RR
Oklahoma
(2/26/2021)
RR
Oregon
(5/10/2024)
RR
South Dakota
(5/9/2024)
RR
Texas
(2/23/2021)
RR
Utah
(5/9/2024)
RR
Washington
(2/23/2021)
RR
Wisconsin
(5/9/2024)
RR
Wyoming
(5/17/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/22/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/8/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

ED
EQUITABLE DISTRIBUTORS, LLC
AXA DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, LLC | EQUITABLE DISTRIBUTORS, INC. | AXA PARTNERS, A BUSINESS UNIT OF AXA DISTRIBUTORS, LLC

CRD#: 25900 / SEC#: , 8-42123

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
8501 Ibm Drive, Suite 150, Charlotte, NC 28262
Mailing Address
1345 Avenue Of The Americas, New York, NY 10105
Phone number
(212) 314-2137
Established
Delaware since 01/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
EQ HOLDINGS, LLCOWNER
D'AUGUSTE, ARIELLE RACHELGENERAL COUNSEL7252573
DURSO, ALFRED JOSEPHCHIEF COMPLIANCE OFFICER2546771
KAIS, JAMES MICHAELDIRECTOR2529327
LANE, NICHOLAS BURRITTCHAIRMAN OF THE BOARD, PRESIDENT AND CHIEF EXECUTIVE OFFICER4994948
SCANLON, STEPHEN CAULEYDIRECTOR2219308
SCAPPATOR, CANDACE LYNNFINOP / CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER4697607

Disclosures

Arbitration1

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.

Company Information

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900Charlotte, NC 28262

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