Michael J. Steiner

CONGRESS PARK CAPITAL LLC

SARATOGA SPRINGS, NY 12866

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CRD#: 4922988

Professional summary

Michael James Steiner, who also goes by Michael J Steiner, is a registered financial advisor currently at CONGRESS PARK CAPITAL LLC located in Saratoga Springs, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Michael has worked at 5 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael J Steiner

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.

1. THE STEINER CORPORATION; NOT INVESTMENT-RELATED; 13 CARSTEAD DR. SLINGERLANDS NY 12159; DOG RELATED SERVICES; PART OWNER, PRESIDENT; STARTED IN 09/2007; SPEND APPROXIMATELY 5HRS PER WEEK; NON-TRADING HRS; BOOKKEEPING AND SUPPORT. 2. MR. STEINER IS LICENSED TO SELL INSURANCE. IN HIS ROLE AS AN INSURANCE AGENT, HE MAY OFFER COMMISSIONABLE INSURANCE PRODUCTS TO ADVISER'S CLIENTS FOR WHICH HE MAY RECEIVE COMPENSATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Steiner's CRS (Customer Relationship Summary).

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

June 21, 2012 - Present

CONGRESS PARK CAPITAL LLC

Office #1: 57 Phila Street, Saratoga Springs, NY 12866

RIA

CRD#: 150309

SARATOGA SPRINGS, NY

Past

March 1, 2011 - June 21, 2012

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

ALBANY, NY

Past

May 20, 2009 - June 20, 2012

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ALBANY, NY

Past

September 21, 2005 - May 21, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLIFTON PARK, NY

Past

September 21, 2005 - May 21, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CLIFTON PARK, NY

Past

April 18, 2005 - September 20, 2005

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CONGRESS PARK CAPITAL LLC

CRD#: 150309 / SEC#: 801-70181

RIA

Registered Investment Advisory firm - (5/6/2009 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(6/25/2012)

IAR

New York
(4/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/6/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 5/12/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/15/2005

General Securities Representative Examination

Current Firm

CONGRESS PARK CAPITAL LLC

CRD#: 150309 / SEC#: 801-70181

RIA

Registered Investment Advisory firm - (5/6/2009 Approved)

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Contact information

Main Address

57 Phila Street, Saratoga Springs, NY 12866

Mailing Address

Phone number

(518) 339-4335

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CPC - ADV PART 2A: FIRM BROCHURE (3/4/2025)

Regulatory assets under management

Total Number of Accounts	392
AUM (Assets Under Management)	$ 366,480,628

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.

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Advisor Monitoring

Firm Stability Insights

Michael J. Steiner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael James Steiner's CRS (Customer Relationship Summary).

Certified licenses

Experience

PKS ADVISORY SERVICES, LLC

PURSHE KAPLAN STERLING INVESTMENTS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CONGRESS PARK CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/6/2005

Series 31

Date: 5/12/2005

Series 7

Date: 4/15/2005

Current Firm

CONGRESS PARK CAPITAL LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONGRESS PARK CAPITAL LLC

TRUST BUT VERIFY

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