HS
Harrison M. Steinwald
TRUBEE WEALTH ADVISORS
Buffalo, NY 14225
Some features on this profile are disabled
CRD#: 5978062
HS
Professional summary
Harrison Michael Steinwald, who also goes by Harrison Steinwald, is a registered financial advisor currently at TRUBEE WEALTH ADVISORS, INC. located in Buffalo, New York.
Harrison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Harrison has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Harrison Steinwald
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.
Investment Analytics, Inc. - Managing Director. 20 hours per month with 10 hours during trading hours. Investment Analytics Inc works with a small number of clients to provide consulting services for the development and ongoing review of Investment Programs. My duties include: development and analysis of Investment Policy Statements, Manager search and selection, and performance evaluation. I am responsible for attending quarterly client meetings and responding to client inquiries.
CRS (Client Relationship Summary) - RIA
Click below to view Harrison Michael Steinwald's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Harrison Michael Steinwald'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®
NoneExperience
Current
September 9, 2020 - Present
TRUBEE WEALTH ADVISORS, INC.
Office #1: 600 Airborne Pkwy Suite #120, Buffalo, NY 14225Office #2: 600 Airborne Pkwy Suite #120, Buffalo, NY 14225RIA
BD
CRD#: 3618
Buffalo, NY
Current
July 2, 2020 - Present
TRUBEE WEALTH ADVISORS, INC.
Office #1: 600 Airborne Pkwy Suite #120 Fax # 716-849-0144, Buffalo, NY 14225Office #2: 600 Airborne Pkwy Suite #120, Buffalo, NY 14225RIA
BD
CRD#: 3618
Buffalo, NY
Past
June 10, 2013 - July 10, 2020
M&T SECURITIES, INC.
RIA
CRD#: 17358
BUFFALO, NY
Past
June 10, 2013 - July 10, 2020
M&T SECURITIES, INC.
BD
CRD#: 17358
BUFFALO, NY
Past
January 11, 2012 - February 4, 2013
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WILLIAMSVILLE, NY
Past
October 14, 2011 - February 4, 2013
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WILLIAMSVILLE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TRUBEE WEALTH ADVISORS, INC.
TRUBEE WEALTH ADVISORS, INC | TRUBEE, COLLINS & CO., INC. | TRUBEE, COLLINS & CO. | TRUBEE WEALTH ADVISORS, INC.
CRD#: 3618 / SEC#: 801-70259, 8-2142
RIA
Registered Investment Advisory firm - SEC (6/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
California(3/21/2023)
RR
Connecticut(7/2/2020)
RR
District of Columbia(12/12/2023)
RR
Illinois(6/2/2025)
RR
Louisiana(7/2/2020)
RR
Massachusetts(7/2/2020)
IAR
Massachusetts(9/9/2020)
RR
Michigan(12/12/2023)
RR
New York(7/2/2020)
IAR
New York(3/29/2021)
RR
North Carolina(12/12/2023)
RR
Ohio(7/2/2020)
RR
Pennsylvania(12/12/2023)
RR
South Carolina(7/2/2020)
RR
Virginia(7/2/2020)
RR
West Virginia(7/2/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TRUBEE WEALTH ADVISORS, INC.
TRUBEE WEALTH ADVISORS, INC | TRUBEE, COLLINS & CO., INC. | TRUBEE, COLLINS & CO. | TRUBEE WEALTH ADVISORS, INC.
CRD#: 3618 / SEC#: 801-70259, 8-2142
RIA
Registered Investment Advisory firm - SEC (6/11/2009 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
600 Airborne Pkwy Suite #120 Suite #120, Buffalo, NY 14225
Mailing Address
600 Airborne Pkwy Suite #120, Buffalo, NY 14225
Phone number
(716) 849-1401
Established
New York since 01/01/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
17
SEC notice filing (12 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PICTOR, WILLIAM ROBERT | VICE PRESIDENT | 858533 |
| SHINE, JOHN DAVID | PRESIDENT, BRANCH MANAGER, & CEO | 6416650 |
| TURK, THOMAS RICHARD | VICE PRESIDENT | 723048 |
| BOWEN, JEFFREY ALLAN | VICE PRESIDENT, SROP, CROP | 832583 |
| EMBLIDGE, ANNE JENNIFER | FINANCIAL ADVISOR | 6778677 |
| GELO, CHARLES ERNEST | VICE PRESIDENT | 2356060 |
| INGOLD, NICHOLAS ALEXANDER | VICE PRESIDENT | 5189327 |
| STEINWALD, HARRISON MICHAEL | FINOP AND CFO | 5978062 |
| VERBANIC, NICHOLAS | VICE PRESIDENT | 2229305 |
| REINARD-KOPSA, PATRICIA EDITH | CHIEF COMPLIANCE OFFICER | 2101387 |
| VOSSLER, THOMAS GERARD | VICE PRESIDENT | 1036328 |
Regulatory assets under management
| Total Number of Accounts | 1,265 |
| AUM (Assets Under Management) | $ 724,206,069 |
Disclosures
| Regulatory Event | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 07/28/2023 |
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
TRUBEE WEALTH ADVISORS, INC.
CRD#: 3618Buffalo, NY 14225TRUST BUT VERIFY
Monitor Harrison Steinwald
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
