Robert Steinmetz
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.
Robert Steinmetz, who also goes by Robert Dieter Steinmetz, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2008. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2024 - July 30, 2025
VANDERBILT SECURITIES, LLC
January 12, 2024 - August 2, 2024
CADARET, GRANT & CO., INC.
June 8, 2022 - January 15, 2024
PAYCHEX SECURITIES CORPORATION
April 12, 2022 - April 18, 2022
CADARET, GRANT & CO., INC.
October 9, 2019 - April 4, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
May 4, 2016 - December 31, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
May 3, 2016 - February 8, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
March 21, 2014 - February 5, 2016
MORGAN STANLEY
February 14, 2014 - February 5, 2016
MORGAN STANLEY
April 7, 2011 - September 4, 2012
M&T SECURITIES, INC.
January 25, 2008 - April 9, 2010
NYLIFE SECURITIES 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
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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