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Travis D. Steele

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CRD#: 5938540
TS

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.

Travis Donald Steele was a registered financial professional .

Travis is a previously registered financial professional and started their career in finance in 2016. Travis had worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 79TO 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 29, 2019 - October 12, 2023

GLADSTONE SECURITIES, LLC

BD
CRD#: 127808
Seattle, WA
Past

July 22, 2016 - January 3, 2019

STEELE PARTNERS GP LLC

RIA
CRD#: 283688
Denver, CO

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/16/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/14/2016
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/29/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79TO
Date: 5/31/2019
Investment Banking Registered Representative Examination

Current Firm

GS
GLADSTONE SECURITIES, LLC
CIRCADIAN PARTNERS LLC | GLADSTONE SECURITIES, LLC

CRD#: 127808 / SEC#: , 8-66052

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

Main Address
1521 Westbranch Drive Suite 100, Mclean, VA 22102
Mailing Address
1521 Westbranch Drive Suite 100, Mclean, VA 22102
Phone number
(703) 287-5900
Established
Connecticut since 04/07/2003
Firm type
Limited Liability Company
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#
THE GLADSTONE COMPANIES, INC.SHAREHOLDER
DELLAFIORA, JOHN ANTHONY JRMEMBER, BOARD OF MANAGERS/MANAGING PRINCIPAL/CHIEF COMPLIANCE OFFICER5412022
GLADSTONE, DAVID JOHNMEMBER, BOARD OF MANAGERS4578897
KENT, RICHARD JOHNMEMBER, BOARD OF MANAGERS/MANAGING PRINCIPAL3258231
LICALSI, MICHAEL BERNARDMEMBER, BOARD OF MANAGERS/MANAGING PRINCIPAL/CHIEF LEGAL OFFICER/SECRETARY2578298
MARRONE, MICHAEL THOMASFINANCIAL AND OPERATIONS PRINCIPAL4859949

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

GLADSTONE SECURITIES, LLC

CRD#: 127808

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