Jeremy J. Steinbach
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.
Jeremy J Steinbach, who also goes by Jeremy James Steinbach, was a registered financial professional .
Jeremy is a previously registered financial professional and started their career in finance in 2005. Jeremy had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2021 - October 20, 2021
HARRISDIRECT LLC
March 3, 2021 - October 20, 2021
E*TRADE SECURITIES LLC
January 23, 2013 - October 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
January 17, 2013 - October 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
June 6, 2012 - November 29, 2012
INTL ADVISORY CONSULTANTS INC.
December 12, 2011 - November 29, 2012
STONEX SECURITIES INC.
December 9, 2011 - December 20, 2011
STERNE, AGEE & LEACH, INC.
April 30, 2010 - December 12, 2011
ANDERSON & STRUDWICK, INCORPORATED
April 12, 2010 - December 9, 2011
ANDERSON & STRUDWICK, INCORPORATED
March 24, 2010 - April 15, 2010
J.P. TURNER & COMPANY, L.L.C.
January 11, 2006 - March 31, 2010
GUNNALLEN FINANCIAL, INC
February 24, 2005 - March 31, 2010
GUNNALLEN FINANCIAL, 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
Current Firm
HARRISDIRECT LLC
CRD#: 42159 / SEC#: 801-58085, 8-49730
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| E*TRADE BROKERAGE HOLDINGS, INC. | SHAREHOLDER | |
| ALBINO, MICHAEL JOSEPH | CHIEF COMPLIANCE OFFICER/CROP/SROP - BD | 864412 |
| BOCK, CYNTHIA CRAMER | CORPORATE SECRETARY | |
| CURCIO, MICHAEL JOHN | MANAGER | 1620743 |
| FOSTER, JONATHAN RICE | PRESIDENT | 1037245 |
| HAVENS, GILBERT SCHUYLER | VICE PRESIDENT - IA | 2508109 |
| KAMEDA, ROBIN GEN WAI KIRN | CHIEF COMPLIANCE OFFICER - IA | 1821479 |
| LILIEN, ROBERT JARRETT | CEO, MANAGER | 1337819 |
| REYES, CHRISTOPHER VALENTIN | CHIEF FINANCIAL OFFICER | 2105804 |
| ROBERTS, THOMAS HENRY III | VICE PRESIDENT - BD | 2104665 |
| WILSON, MICHAEL JAMES | CHIEF COMPLIANCE OFFICER - INTERNATIONAL | 2446305 |
Regulatory assets under management
| Total Number of Accounts | 90,806 |
| AUM (Assets Under Management) | $ 7,406,529,807 |
Disclosures
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/23/2023 | ||
| 09/27/2022 | ||
| 12/21/2021 |
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.
