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Steven James Stauff

Ieq Capital, LLC

Newport Beach, CA

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Current Employers
Ieq Capital, Llc

950 Tower Lane Suite 1800, Foster City, CA 94404 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-02-06
CA RA APPROVED 2023-09-06
  • TX RA
    APPROVED
    Since 2025-02-06
  • CA RA
    APPROVED
    Since 2023-09-06

Branch Locations

888 San Clemente Drive, Suite 150, Newport Beach, CA 92660 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
City National Bank Irvine CA 03/2016 08/2023
Ieq Capital, Llc Newport Beach CA 08/2023 Present
  • 03/2016 → 08/2023
    City National Bank
    Irvine, CA
  • 08/2023 → Present
    Ieq Capital, Llc
    Newport Beach, CA
Previous Registrations
  • 2016-04-01 → 2023-09-15
    Rbc Securities, Inc
    Irvine, CA
    Los Angeles, CA
    Los Angeles, CA
  • 2010-10-15 → 2016-03-28
    Wells Fargo Clearing Services, Llc
    Irvine, CA
  • 2009-06-01 → 2010-10-29
    Morgan Stanley
    Los Angeles, CA
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Los Angeles, CA
  • 2003-02-07 → 2007-04-02
    Morgan Stanley Dw Inc.
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-10-21
  • S66 Uniform Combined State Law Examination
    2002-10-21
Designations
Other Names
  • Steven James Stauff
  • Steven J Stauff

View on SEC IAPD

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