Individual Firm
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Craig Alexander Scott Steiger
CRAIG A S STEIGER
CRD#: 1899972
IA
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 900 TAHOE BLVD
PBIG - INCLINE VILLAGE PW
INCLINE VILLAGE, NV 89451
PBIG - INCLINE VILLAGE PW
INCLINE VILLAGE, NV 89451
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11/15/2007
Customer Dispute
Closed-No Action
1/29/1996
Customer Dispute
Settled
5/26/1994
Customer Dispute
Settled
State Registrations
B
California 1/3/2001
B
Nevada 2/4/2019
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California 3/23/2001
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Nevada 4/29/2022
B
Massachusetts 11/8/2006
B
New Hampshire 12/1/2020
SRO Registrations
B
B
B
B
B
B
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Registered with this firm since 3/23/2001
B
Registered with this firm since 1/3/2001
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/23/1988 - 11/29/2000 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.