Pierce R. 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.
Pierce Richard Steele, who also goes by Richard Pierce Steele, was a registered financial professional .
Pierce is a previously registered financial professional and started their career in finance in 1975. Pierce had worked at 8 firms and has passed the Series 63, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 1992 - April 7, 1994
WHITEHALL-PARKER SECURITIES, INC.
February 7, 1992 - August 28, 1992
FSC SECURITIES CORPORATION
October 24, 1989 - February 7, 1992
BRITSON INVESTMENTS, INC.
August 25, 1989 - September 6, 1989
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
January 6, 1981 - January 14, 1989
MORGAN STANLEY DW INC.
January 2, 1980 - February 2, 1981
PRUDENTIAL EQUITY GROUP, LLC
February 24, 1978 - December 19, 1979
MORGAN STANLEY DW INC.
May 21, 1976 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
July 25, 1975 - June 25, 1976
BACHE & CO INCORPORATED
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
PC
Date: 6/26/1978
AMEX Put and Call ExamCurrent Firm
WHITEHALL-PARKER SECURITIES, INC.
CRD#: 10608 / SEC#: , 8-27688
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25 |
| AUM (Assets Under Management) | $ 20,000,000 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
