Richard E. Steiny
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.
Richard Edward Steiny was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2014 - January 8, 2015
ASSETMARK BROKERAGE, LLC
December 4, 2013 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
April 1, 2008 - November 22, 2013
CAPITAL BROKERAGE CORPORATION
April 14, 1997 - January 6, 2017
ASSETMARK, INC.
March 6, 1995 - April 1, 2008
ASSETMARK CAPITAL CORPORATION
November 19, 1989 - March 8, 1995
OSAIC WEALTH, INC.
April 3, 1989 - November 19, 1992
INDEPENDENT PLANNING CAPITAL CORPORATION
December 24, 1987 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 14, 1981 - December 24, 1987
FINANCIAL PLANNERS EQUITY CORPORATION
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
Series 1
Date: 9/29/1980
Registered Representative ExaminationCurrent Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
