Paul R. Steck
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.
Paul Robert Steck, who also goes by Paul R. Steck, Paul Robert Steck, Paul Steck, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 2003. Paul had worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 26, 2021 - December 13, 2021
LEBENTHAL FINANCIAL SERVICES, INC.
November 8, 2017 - February 12, 2019
ALLSTATE FINANCIAL SERVICES, LLC
April 19, 2012 - October 6, 2017
PARK AVENUE SECURITIES LLC
January 30, 2012 - April 3, 2012
NYLIFE SECURITIES LLC
May 18, 2011 - January 3, 2012
TRANSCEND CAPITAL
June 25, 2007 - March 14, 2011
GENESIS SECURITIES, LLC
September 15, 2006 - May 21, 2007
GRACE FINANCIAL GROUP LLC
June 12, 2006 - August 8, 2006
RAFFERTY CAPITAL MARKETS, LLC
January 5, 2004 - March 9, 2006
KELLOGG CAPITAL GROUP LLC
October 12, 2003 - January 2, 2004
COHEN, DUFFY, MCGOWAN & CO. LLC
October 12, 2003 - January 2, 2004
CDM SPECIALISTS LLC
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 55
Date: 12/27/2006
Limited Representative-Equity Trader ExamCurrent Firm
LEBENTHAL FINANCIAL SERVICES, INC.
CRD#: 137988 / SEC#: , 8-67140
Contact information
FINRA licenses (39 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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