Geoffrey A. Stern
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Geoffrey A Stern was a registered financial professional .
Geoffrey is a previously registered financial professional and started their career in finance in 1983. Geoffrey had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2013 - August 20, 2019
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
September 30, 2009 - August 9, 2013
BLUE SAND SECURITIES LLC
November 6, 2000 - January 11, 2001
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1983 - September 8, 2000
PERSHING LLC
State Registrations and Notice Filings
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Exams
Current Firm
ALTERNATIVE ASSET INVESTMENT MANAGEMENT SECURITIES, LLC
CRD#: 135131 / SEC#: , 8-66889
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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