Richard P. 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.
Richard Page Stern, who also goes by Rick Stern, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1983. Richard had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2016 - April 6, 2017
JORDAN, KNAUFF & COMPANY
January 26, 2011 - November 11, 2016
SAXONY SECURITIES, INC.
November 14, 2003 - February 1, 2011
BOLTON GLOBAL CAPITAL
November 9, 2000 - November 17, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 8, 1999 - November 14, 2000
GEORGE K. BAUM & COMPANY
March 2, 1998 - July 1, 1999
RBC CAPITAL MARKETS, LLC
January 23, 1998 - March 2, 1998
DAIN RAUSCHER INCORPORATED
September 19, 1997 - January 8, 1998
NORTHEAST SECURITIES, LLC
June 30, 1994 - September 20, 1997
MEYERS POLLOCK ROBBINS, INC.
May 20, 1992 - June 14, 1994
PRUDENTIAL EQUITY GROUP, LLC
February 16, 1990 - May 21, 1992
KIDDER, PEABODY & CO. INCORPORATED
March 14, 1983 - March 9, 1990
LEHMAN BROTHERS INC.
March 1, 1983 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JORDAN, KNAUFF & COMPANY
CRD#: 129725 / SEC#: , 8-66246
Contact information
FINRA licenses (14 States and Territories)
Red Flags
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