Daniel C. Steiner
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.
Daniel C. Steiner was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2011. Daniel had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - February 29, 2012
INVESTORS SECURITY COMPANY, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
INVESTORS SECURITY COMPANY, INC.
CRD#: 2331 / SEC#: 801-57968, 8-12111
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOLLOWAY, CHRISTOPHER MATTHEW | PRESIDENT/CHIEF COMPLIANCE OFFICER | 3124769 |
Disclosures
| Regulatory Event | 16 |
| Civil Event | 1 |
| Arbitration | 1 |
| Bond | 1 |
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.
