Individual Firm
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THOMAS ROBERT STEELE
THOMAS R STEELE JR, TOM STEELE
CRD#: 2236396
IA
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RBC CAPITAL MARKETS, LLCCRD#: 31194 LAS VEGAS, NV
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Disclosures
32
Years of Experience
View By:
State Registrations
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Alabama 11/5/2024
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Nevada 10/27/2021
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California 11/26/2021
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Nevada 11/17/2021
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Delaware 10/27/2021
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New Jersey 10/27/2021
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Florida 10/27/2021
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New York 10/27/2021
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Georgia 1/4/2022
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Pennsylvania 10/27/2021
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Indiana 11/8/2021
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Virginia 10/27/2021
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/27/2012 - 11/09/2021 | HENDERSON, NV | |
B | 01/27/2012 - 11/09/2021 | HENDERSON, NV | |
IA | 08/10/2004 - 01/30/2012 | FLEMINGTON, NJ | |
B | 08/10/2004 - 01/30/2012 | FLEMINGTON, NJ | |
IA | 07/01/2003 - 08/12/2004 | BEDMINSTER, NJ | |
B | 07/01/2003 - 08/12/2004 | ST. LOUIS, MO | |
IA | 06/25/2002 - 07/01/2003 | BEDMINSTER, NJ | |
B | 02/23/2001 - 07/01/2003 | NEW YORK, NY | |
B | 05/13/1992 - 03/22/2001 | NEWARK, NJ |
FLEMINGTON, NJ
08/10/2004 - 01/30/2012
FLEMINGTON, NJ
08/10/2004 - 01/30/2012
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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.