Eric L. Steger
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.
Eric Lee Steger, who also goes by Eric Lee Hunstiger, Eric L Steger, was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1981. Eric had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 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 5, 2009 - December 31, 2014
KMS FINANCIAL SERVICES, INC.
August 5, 2009 - December 31, 2014
KMS FINANCIAL SERVICES, INC.
March 25, 1998 - April 15, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
March 10, 1998 - July 3, 2006
IDS LIFE INSURANCE COMPANY
March 10, 1998 - April 15, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
February 8, 1993 - March 10, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
June 1, 1992 - October 7, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 1991 - March 9, 1992
AMERIPRISE ADVISOR SERVICES, INC.
January 18, 1991 - November 14, 1991
CINCINNATI ANALYSTS, INC.
April 11, 1988 - January 28, 1991
LEHMAN BROTHERS INC.
June 23, 1981 - April 11, 1988
E. F. HUTTON & COMPANY 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
Current Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
