Jack D. Steele
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.
Jack Donald Steele was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1973. Jack had worked at 7 firms and has passed the Series 63, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2009 - March 13, 2012
MISCHLER FINANCIAL GROUP, INC.
October 19, 1990 - November 8, 2007
NOMURA SECURITIES INTERNATIONAL, INC.
March 28, 1990 - October 19, 1990
CITIGROUP GLOBAL MARKETS INC.
May 19, 1978 - March 19, 1990
KIDDER, PEABODY & CO. INCORPORATED
February 25, 1974 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
July 2, 1973 - April 8, 1974
DUPONT WALSTON, INCORPORATED
February 14, 1973 - July 2, 1973
DUPONT GLORE FORGAN INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 2/8/1973
Registered Representative ExaminationSeries 8
Date: 2/1/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MISCHLER FINANCIAL GROUP, INC.
CRD#: 37818 / SEC#: , 8-48067
Contact information
FINRA licenses (49 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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