Jack H. 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.
Jack Harry Stein, who also goes by Jack H Stein, was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1984. Jack had worked at 8 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
May 6, 1998 - April 6, 2000
BAXTER BANKS & SMITH, LTD.
August 9, 1996 - March 9, 1998
JOSEPH DILLON & COMPANY INC.
December 10, 1991 - April 30, 1996
JOSEPHTHAL & CO., INC.
September 4, 1990 - December 4, 1991
WELLS FARGO CLEARING SERVICES, LLC
August 13, 1990 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
August 26, 1988 - July 30, 1990
BAIRD, PATRICK & CO., INC.
December 16, 1987 - July 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 30, 1987 - January 6, 1988
CIBC WORLD MARKETS CORP.
October 10, 1984 - July 7, 1987
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
BAXTER BANKS & SMITH, LTD.
CRD#: 40771 / SEC#: , 8-49185
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 17 |
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.
