Richard K. 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.
Richard Kent Steele SR, who also goes by Richard Kent Steel Sr, Richard Kent Steele, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1974. Richard had worked at 13 firms and has passed the Series 63, PC, Series 7 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
September 8, 1994 - January 26, 1995
FLEMMING, ANDERSON, COHEN & LEE, INC.
March 24, 1992 - April 27, 1995
R.K. STEELE
November 13, 1990 - March 10, 1992
MEYERS SECURITIES CORPORATION
November 9, 1989 - May 11, 1990
WELLSHIRE SECURITIES, INC.
February 23, 1989 - July 26, 1990
FIRST SWISS INTERNATIONAL SECURITIES CORPORATION
December 8, 1982 - June 4, 1988
LEHMAN BROTHERS INC.
August 16, 1982 - December 7, 1982
UBS FINANCIAL SERVICES INC.
January 13, 1982 - July 27, 1982
DREXEL BURNHAM LAMBERT INCORPORATED
February 22, 1978 - December 9, 1981
LEHMAN BROTHERS KUHN LOEB INCORPORATED
September 27, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
August 27, 1976 - October 8, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
October 23, 1974 - February 27, 1976
BACHE & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 9/1/1977
AMEX Put and Call ExamCurrent Firm
FLEMMING, ANDERSON, COHEN & LEE, INC.
CRD#: 23121 / SEC#: , 8-40210
Contact information
Documents
Red Flags
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