Thomas J. Steffanci
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.
Thomas Joseph Steffanci was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2003. Thomas had worked at 3 firms and has passed the Series 65, Series 3 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2018 - January 9, 2024
BENEFIT FINANCIAL SERVICES GROUP
August 12, 2009 - September 2, 2010
AER ADVISORS, INC.
May 29, 2007 - December 17, 2008
GLENCREST INVESTMENT ADVISORS, INC.
February 28, 2003 - December 31, 2005
GLENCREST INVESTMENT ADVISORS, INC.
Primary Firm SEC Registration
BENEFIT FINANCIAL SERVICES GROUP
CRD#: 143617 / SEC#: 801-67796
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 40
Date: 7/27/1978
Registered Principal ExaminationCurrent Firm
BENEFIT FINANCIAL SERVICES GROUP
CRD#: 143617 / SEC#: 801-67796
Contact information
SEC notice filing (20 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 855 |
| AUM (Assets Under Management) | $ 1,290,227,768 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
