Alan M. 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.
Alan Mitchell Stern was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 1984. Alan had worked at 6 firms and has passed the Series 63, Series 3, Series 7, Series 4 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
February 1, 1991 - April 22, 1991
H. STARR FINANCIAL CORP.
September 6, 1989 - December 20, 1990
ROBERT TODD FINANCIAL CORP.
October 13, 1986 - June 28, 1989
LEVCO SECURITIES CORP.
January 8, 1986 - October 21, 1986
ALEXANDER MICHAELS, INC.
March 25, 1985 - December 24, 1985
WEAVER JOHNSON & COMPANY,INC.
January 16, 1985 - April 3, 1985
VANDERBILT SECURITIES, INC.
February 27, 1984 - December 5, 1984
VANDERBILT 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
Current Firm
H. STARR FINANCIAL CORP.
CRD#: 16631 / SEC#: , 8-34295
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
