Joel M. Sternbach
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.
Joel Mitchell Sternbach was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 1982. Joel had worked at 5 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2022 - May 25, 2023
DINOSAUR FINANCIAL GROUP, L.L.C
September 27, 1993 - August 11, 2022
CITIGROUP GLOBAL MARKETS INC.
May 13, 1985 - September 28, 1993
LEHMAN BROTHERS INC.
May 26, 1982 - July 24, 1985
E. F. HUTTON & COMPANY INC
March 30, 1982 - September 30, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
