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JS

Jacob A. Steinfeld

ASHMORE INVESTMENT MANAGEMENT (US)
New York, NY 10022
Some features on this profile are disabled
CRD#: 5013485
JS

Professional summary

Jacob A Steinfeld is a registered financial professional currently at ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION located in New York, New York.

Jacob is registered as a RR (Registered Representative) and started their career in finance in 2005. Jacob has worked at 5 firms and has passed the Series 63, 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 Jacob A Steinfeld'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

July 11, 2019 - Present

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

Office #1: 437 Madison Avenue Suite 1904, New York, NY 10022
BD
CRD#: 152920
New York, NY
Past

October 1, 2008 - August 16, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

August 14, 2008 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

March 21, 2007 - July 25, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

September 27, 2005 - March 21, 2007

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

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
New York
(7/11/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 10/20/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/16/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/26/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AI
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION
ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

CRD#: 152920 / SEC#: , 8-68490

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

Main Address
437 Madison Avenue Suite 1904, New York, NY 10022
Mailing Address
437 Madison Avenue Suite 1904, New York, NY 10022
Phone number
(212) 661-0061
Established
Delaware since 10/31/2008
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
ASHMORE INVESTMENTS UK LTDOWNER
GRUNEBAUM, GEORGE PETERCEO2282530
RUDMAN, STEPHEN MARKCCO1884798
STEWART, SCOTT ALEXANDERFINOP6977422

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

ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION

CRD#: 152920New York, NY 10022

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