Steve Soto
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.
Steve Soto was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2009. Steve had worked at 3 firms and has passed the Series 66 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
December 4, 2014 - November 5, 2015
ANFIELD CAPITAL MANAGEMENT, LLC
December 13, 2013 - December 2, 2014
ANFIELD ADVISORS, LLC
August 26, 2009 - December 17, 2012
SECURIAN FINANCIAL SERVICES, INC.
July 30, 2009 - December 17, 2012
SECURIAN FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
ANFIELD CAPITAL MANAGEMENT, LLC
CRD#: 165211 / SEC#: 801-77714
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
ANFIELD CAPITAL MANAGEMENT, LLC
CRD#: 165211 / SEC#: 801-77714
Contact information
SEC notice filing (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 710 |
| AUM (Assets Under Management) | $ 1,778,169,222 |
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.
