Ira S. 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.
Ira Sidney Stern was a registered financial professional .
Ira is a previously registered financial professional and started their career in finance in 1984. Ira had worked at 10 firms and has passed the Series 63, Series 15, Series 5, Series 3, Series 7, Series 4, Series 53, Series 27 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
December 22, 1993 - February 9, 2001
HARBAY, KESSEF & CO.
May 11, 1992 - December 16, 1993
CORNA SECURITIES, INC.
July 18, 1991 - February 24, 1992
FINANCIAL HORIZONS DISCOUNT BROKERAGE, INC.
February 25, 1991 - February 24, 1992
FINANCIAL HORIZONS SECURITIES CORPORATION
November 27, 1990 - February 27, 1991
OMNI CAPITAL MARKETS, INCORPORATED
October 17, 1990 - November 7, 1990
MULTIPLAN INVESTMENTS, INC.
July 17, 1990 - September 20, 1990
COLUMBUS EQUITIES INTERNATIONAL, INC.
September 13, 1989 - August 14, 1990
QUEST CAPITAL STRATEGIES, INC.
October 25, 1985 - August 28, 1989
ADVEST, INC.
January 30, 1984 - November 5, 1985
THOMSON MCKINNON SECURITIES INC.
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 15
Date: 8/14/1985
Foreign Currency Options ExaminationSeries 5
Date: 7/1/1985
Interest Rate Options ExaminationCurrent Firm
HARBAY, KESSEF & CO.
CRD#: 35308 / SEC#: , 8-46647
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
Red Flags
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