Individual Firm
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.
STEVEN JAMES STAUFF
STEVEN J STAUFF
CRD#: 4468047
IA
B
IEQ CAPITAL, LLCCRD#: 301819 888 San Clemente Drive, Suite 150
Newport Beach, CA 92660
Newport Beach, CA 92660
View By:
6/27/2014
Customer Dispute
Denied
State Registrations
IA
California 9/6/2023
IA
Texas 2/6/2025
IA
Registered with this firm since 9/6/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/01/2016 - 09/15/2023 | IRVINE, CA | |
B | 03/31/2016 - 09/15/2023 | IRVINE, CA | |
IA | 10/15/2010 - 03/28/2016 | IRVINE, CA | |
B | 10/14/2010 - 03/28/2016 | IRVINE, CA | |
IA | 06/01/2009 - 10/29/2010 | LOS ANGELES, CA | |
B | 06/01/2009 - 10/29/2010 | LOS ANGELES, CA | |
IA | 04/02/2007 - 06/01/2009 | LOS ANGELES, CA | |
B | 04/02/2007 - 06/01/2009 | LOS ANGELES, CA | |
IA | 02/07/2003 - 04/02/2007 | LOS ANGELES, CA | |
B | 09/24/2002 - 04/02/2007 | LOS ANGELES, CA |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.