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Susan Carmel Steinberg
SUE STEINBERG, SUSAN CARMEL UNCHUAN, SUE UNCHUAN-STEINBERG, SUSAN UNCHUAN-STEINBERG
CRD#: 4504651
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 4 Venture Ste 300
Irvine, CA 92618
Irvine, CA 92618
0
Disclosures
3
Years of Experience
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State Registrations
B
Arizona 10/2/2024
B
Nevada 10/2/2024
B
California 1/25/2023
B
Texas 10/2/2024
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California 3/26/2024
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Texas 10/2/2024
B
Colorado 10/3/2024
B
Utah 10/2/2024
SRO Registrations
B
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IA
Registered with this firm since 3/26/2024
B
Registered with this firm since 10/4/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 04/04/2003 - 08/29/2003 | MILWAUKEE, WI | |
B | 06/05/2002 - 12/10/2002 | DULUTH, GA |
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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.