Steven M. Schroeder
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.
Steven Mark Schroeder was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5, Series 7, Series 10, Series 9 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
January 4, 2021 - August 9, 2021
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
March 17, 2000 - August 4, 2021
LPL FINANCIAL LLC
April 20, 1990 - August 4, 2021
LPL FINANCIAL LLC
January 15, 1990 - May 3, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
January 15, 1990 - May 3, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 28, 1983 - February 1, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1980 - March 4, 1983
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
CRD#: 169045 / SEC#: 801-78565
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 15
Date: 3/24/1983
Foreign Currency Options ExaminationSeries 5
Date: 3/27/1982
Interest Rate Options ExaminationSeries 8
Date: 9/6/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
CRD#: 169045 / SEC#: 801-78565
Contact information
SEC notice filing (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,804 |
| AUM (Assets Under Management) | $ 277,447,180 |
Red Flags
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