Best Investors Account Sign in

Daniel Morris Steinberg

Wells Fargo Clearing Services, LLC

Newport Beach, CA

Claim This Profile
Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-10-30
CA RA APPROVED 2023-09-26
  • TX RA
    APPROVED
    Since 2023-10-30
  • CA RA
    APPROVED
    Since 2023-09-26

Branch Locations

520 Newport Center Dr Ste 1700, Newport Beach, CA 92660 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Umpqua Investments, Inc. Irvine CA 04/2019 03/2020
Umpqua Bank Irvine CA 02/2019 03/2020
Izo, Inc. Los Angeles CA 10/2016 02/2019
Unemployed Los Angeles CA 02/2016 10/2016
Bny Newport Beach CA 03/2020 11/2022
Ieq Capital, Llc Los Angeles CA 11/2022 09/2023
Wells Fargo Clearing Services, Llc Newport Beach CA 09/2023 Present
  • 04/2019 → 03/2020
    Umpqua Investments, Inc.
    Irvine, CA
  • 02/2019 → 03/2020
    Umpqua Bank
    Irvine, CA
  • 10/2016 → 02/2019
    Izo, Inc.
    Los Angeles, CA
  • 02/2016 → 10/2016
    Unemployed
    Los Angeles, CA
  • 03/2020 → 11/2022
    Bny
    Newport Beach, CA
  • 11/2022 → 09/2023
    Ieq Capital, Llc
    Los Angeles, CA
  • 09/2023 → Present
    Wells Fargo Clearing Services, Llc
    Newport Beach, CA
Previous Registrations
  • 2022-11-16 → 2023-07-26
    Ieq Capital, Llc
    Newport Beach, CA
  • 2019-04-26 → 2020-03-06
    Steward Partners Investment Solutions, Llc
    Irvine, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-24
S63 Uniform Securities Agent State Law Examination 2019-07-29
  • S66 Uniform Combined State Law Examination
    2023-10-24
  • S63 Uniform Securities Agent State Law Examination
    2019-07-29
Designations
Other Names
  • Dan Morris Steinberg

View on SEC IAPD

Other Firms

OKAPI CAPITAL, LLC
OCVC, LLC
MIG CAPITAL, LLC
RESEARCH AFFILIATES
PAAMCO PRISMA, LLC
COMPOSITION WEALTH, LLC
J.P. MORGAN SECURITIES LLC
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

WILLIAM ERIC BLANTON
Travis L. Shirley
Michael Schanna
Rebekah A. Beekie
WILLIAM BENJAMIN SHAPIRO
Austin Mascorro
Bruce Lyle
Philip Pluta

Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

More in Newport Beach, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor