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Esther Marion Stearns

CRD# 1088948·Registered 1983 - 2013
Previously Registered: Being a previously registered professional could mean that Esther 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.

Professional Summary

Esther Marion Stearns, who also goes by Marsha Marion Stearns, was a registered financial advisor. Esther was a previously registered financial professional and started their career in finance 1983 - 2013. Esther had worked at 3 firms and has passed the Series 66, Series 63, Series 7, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Marsha Marion Stearns

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

43 years in the financial services industry

Current & Past Employments

NESTWISE LLC·CRD# 164466
RIA
Boston, MA
October 2, 2012 - October 4, 2013
LPL FINANCIAL LLC·CRD# 6413
RIA
San Diego, CA
June 11, 2012 - October 11, 2013
LPL FINANCIAL LLC·CRD# 6413
BD
San Diego, CA
September 18, 1996 - October 11, 2013
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
Westlake, TX
October 20, 1983 - July 11, 1996

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Current Firm

NL
NESTWISE LLC

LPL FINANCIAL NEW VENTURE | NESTWISE LLC

CRD#: 164466 / SEC#: 801-76827

Contact Information

Main Address

75 State Street 24th Floor, Boston, MA, 02109

Documents

Latest Form ADV

Part 2 Brochures

PROGRAM BROCHURE-WMIP-NWS-0912 (5/3/2013)

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Jun 2012About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1983About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 2005About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Apr 1987About the Series 27 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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