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Thomas Karl Steinert
CRD#: 4837768
IA
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EDWARD JONESCRD#: 250 1363 COLUMBIA PARK TRAIL
SUITE 102
RICHLAND, WA 99352-4770
SUITE 102
RICHLAND, WA 99352-4770
0
Disclosures
20
Years of Experience
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State Registrations
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Arizona 10/8/2020
B
Oregon 3/13/2014
B
Colorado 7/5/2023
B
Washington 3/3/2014
B
Florida 11/6/2024
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Washington 3/3/2014
B
Idaho 3/13/2014
SRO Registrations
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B
B
B
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Registered with this firm since 3/3/2014
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Registered with this firm since 3/3/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 12/22/2011 - 02/28/2014 | NEW YORK CITY, NY | |
B | 06/21/2011 - 12/06/2011 | SPOKANE, WA | |
B | 08/11/2004 - 12/31/2010 | BELLEVUE, WA |
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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.