Thomas J. Stiener
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.
Thomas John Stiener, who also goes by Thomas Stiener, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 7 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
January 19, 1994 - January 31, 1996
NORTH AMERICAN FINANCIAL GROUP, INC.
March 16, 1993 - November 16, 1993
G.R. STUART & COMPANY, INC.
June 26, 1992 - March 16, 1993
FINANCIAL SECURITIES NETWORK,INC.
May 14, 1988 - June 25, 1988
LEHMAN BROTHERS INC.
December 8, 1987 - April 27, 1992
MORGAN STANLEY DW INC.
October 13, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
March 6, 1984 - October 16, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
NORTH AMERICAN FINANCIAL GROUP, INC.
CRD#: 22273 / SEC#: , 8-39626
Contact information
Documents
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.
