Mitchel A. 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.
Mitchel Alan Stein, who also goes by Mitchel Allan Stein, was a registered financial professional .
Mitchel is a previously registered financial professional and started their career in finance in 1983. Mitchel had worked at 6 firms and has passed the Series 63 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
June 1, 1999 - December 22, 2000
HAPOALIM SECURITIES USA, INC.
April 7, 1999 - June 1, 1999
STUART, COLEMAN & CO., INC.
June 30, 1998 - February 18, 1999
HD BROUS & CO., INC.
October 9, 1991 - July 2, 1998
JOSEPHTHAL & CO., INC.
August 8, 1990 - October 23, 1991
JJC SECURITIES CO., INC.
May 13, 1986 - July 16, 1990
HAPOALIM SECURITIES USA, INC.
November 29, 1983 - May 23, 1986
U.S. SECURITIES, INTL. CORP.
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
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
Red Flags
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.
