Stanley B. Stein
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.
Stanley Bruce Stein was a registered financial professional .
Stanley is a previously registered financial professional and started their career in finance in 1989. Stanley had worked at 5 firms and has passed the Series 63, SIE, Series 79, Series 62, 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
March 11, 2016 - June 7, 2017
G.C. ANDERSEN PARTNERS CAPITAL, LLC
January 30, 2014 - April 18, 2015
DAROTH CAPITAL ADVISORS LLC
January 23, 2001 - January 4, 2006
SRS SECURITIES LLC
August 21, 1991 - June 19, 1996
DRESDNER SECURITIES (USA) INC.
November 21, 1989 - March 14, 1990
DREXEL BURNHAM LAMBERT 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
Series 62
Date: 11/15/2000
Corporate Securities Limited Representative ExaminationCurrent Firm
G.C. ANDERSEN PARTNERS CAPITAL, LLC
CRD#: 44631 / SEC#: , 8-50776
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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