James Steinbrenner
James Steinbrenner is a registered investment advisor, based in Wauwatosa, WI, with 36 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
9800 Bluemound Rd., Wauwatosa, WI, 53226
Get directionsHistory
Regulatory History (3)
Customer Dispute
February 2014Employment Separation After Allegations
December 2008Customer Dispute
September 2002Other Business ActivitiesSells Insurance
James assists with seminars and refers individuals to attorneys for estate planning through Heartland Organization LTD, dedicating minimal time. He is also an insurance representative and sells fixed annuities through Steinbrenner Financial Group. Additionally, James owns rental property through Steinbrenner Partners Property 1 LLC, spending minimal time on this activity.
Employment History
Current Registrations
Lasalle St. Investment Advisors, L.L.C.
Lasalle St Securities, L.L.C.Broker
Previous Registrations
Saxony Capital Management, LLC
Saxony Securities, INC.Broker
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Harbour Investments, INC.Broker
Chubb Securities CorporationBroker
John Hancock Distributors, INC.Broker
State Registrations9 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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