Carl T. Steelman
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.
Carl Thomas Steelman JR, who also goes by Carl Thomas Steelman, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1980. Carl had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 2018 - September 13, 2019
REGULUS FINANCIAL GROUP, LLC
January 18, 2013 - August 10, 2018
QUESTAR CAPITAL CORPORATION
August 14, 2001 - December 31, 2012
VSR FINANCIAL SERVICES, INC.
January 13, 2000 - December 31, 2000
NORTHSTAR SECURITIES, INC.
October 7, 1998 - May 6, 1999
D.H. HILL SECURITIES, LLLP
February 7, 1983 - January 2, 1986
PW SECURITIES, INC.
June 4, 1980 - January 5, 1982
ENTERPRISE FUND DISTRIBUTORS, 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
Exams
Series 1
Date: 5/19/1980
Registered Representative ExaminationCurrent Firm
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
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.
