Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
STEVEN MICHAEL LUTERBACH
CRD#: 2703125
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 W233 N2080 Ridgeview Pkw
Suite 202
WAUKESHA, WI 53188
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - 2018 (8 years)2 FIRMS2018 - Present (7 years)BSTRONG INVESTMENTS, INC. (CRD# 15658)1996 - 2004 (8 years)IASTRONG CAPITAL MANAGEMENT INC (CRD# 106638)1999 - 2005 (5 years)
Disclosure(s)
View By:
1/12/2010
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Arizona 3/16/2018
B
New Mexico 3/16/2018
B
Arkansas 7/14/2022
B
North Carolina 3/16/2018
B
California 3/16/2018
B
Ohio 3/16/2018
B
Colorado 3/16/2018
B
Pennsylvania 3/16/2018
B
Connecticut 7/26/2022
B
Rhode Island 3/16/2018
B
Florida 3/16/2018
B
South Carolina 3/16/2018
B
Illinois 3/16/2018
B
Texas 3/16/2018
B
Indiana 3/16/2018
IA
Texas 3/16/2018
B
Iowa 3/16/2018
B
Utah 11/28/2018
B
Massachusetts 11/28/2018
B
Virginia 3/16/2018
B
Michigan 3/16/2018
B
Washington 3/16/2018
B
Minnesota 3/16/2018
B
Wisconsin 3/16/2018
B
Missouri 3/16/2018
IA
Wisconsin 3/16/2018
B
New Hampshire 3/16/2018
B
Wyoming 12/2/2019

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
W233 N2080 Ridgeview Pkw Suite 202, WAUKESHA, WI 53188
Registered with this firm since 3/16/2018
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
W233 N2080 Ridgeview Pkw Suite 202, WAUKESHA, WI 53188
Registered with this firm since 3/16/2018
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/12/2009 - 03/16/2018 B. C. ZIEGLER AND COMPANY (CRD#:61) WAUKESHA, WI
B
 05/11/2009 - 03/16/2018 B. C. ZIEGLER AND COMPANY (CRD#:61) WAUKESHA, WI
IA
 01/01/2005 - 05/12/2009 WELLS FARGO FUNDS MANAGEMENT, LLC (CRD#:110841) MENOMONEE FALLS, WI
B
 03/14/2005 - 05/12/2009 WELLS FARGO FUNDS DISTRIBUTOR, LLC (CRD#:133366) MENOMONEE FALLS, WI
IA
 07/22/1999 - 01/01/2005 STRONG CAPITAL MANAGEMENT INC (CRD#:106638) MENOMONEE FALLS, WI
B
 02/06/1996 - 12/31/2004 STRONG INVESTMENTS, INC. (CRD#:15658) MENOMONEE FALLS, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.