Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Steinberg has been in the financial services industry since 1984. Michael is currently registered with Lockton RE Capital Markets, LLC. In addition, Michael is also registered with Caplight Markets LLC and Momentus Securities LLC. Prior to that, Michael held positions at SECFI Securities, LLC, CCB International Overseas (USA) Inc., MF Global Inc., J.P. Morgan Securities Inc., Deutsche Bank Securities Inc., Nomura Securities International, Inc., and Baring Securities Inc. Michael holds a number of licenses including Series 7, 3, 24, 55, 79, 99TO, 57TO, SIE, 12, 14, and 63.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
11/07/2023 - Present
Lockton RE Capital Markets, LLC (NEW YORK NY)
CA
11/17/2021 - 02/28/2023
SECFI SECURITIES, LLC (SAN FRANCISCO CA)
NY
03/19/2021 - 05/17/2021
CCB INTERNATIONAL OVERSEAS (USA) INC. (NEW YORK NY)
NY
06/27/2012 - 03/19/2021
CCB INTERNATIONAL OVERSEAS (USA) INC. (NEW YORK NY)
NY
09/07/2010 - 09/28/2011
MF GLOBAL INC. (NEW YORK NY)
NY
10/01/2008 - 05/13/2010
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
06/20/2005 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
06/28/2000 - 02/16/2005
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
07/21/1993 - 07/03/2000
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
04/24/1986 - 07/19/1993
BARING SECURITIES INC. (NEW YORK NY)
NA
09/24/1982 - 07/25/1986
NOMURA SECURITIES INTERNATIONAL, INC.
BC
Issued 08/09/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/03/2023
Series 14 - Compliance Officer Examination
BC
Issued 10/21/1993
Series 12 - NYSE Branch Manager Examination
BC
Issued 04/24/1989
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2012
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 02/16/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/21/1990
Series 3 - National Commodity Futures Examination
BC
Issued 09/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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