SS
Stephen J. Stern
STIFEL, NICOLAUS & COMPANY
Garden City, NY 11530
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CRD#: 1253301
SS
Professional summary
Stephen Jerome Stern, who also goes by Stephen J Stern, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Garden City, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Stephen has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen J Stern
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
10 Pincover Industrial; 563 Adams Ave West Hempstead NY 11552; Mail order industrial blades; owner; overseeing; affiliation started 02/29/2016; 25 hours per month; not during securities trading hours; not investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Jerome Stern's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Jerome Stern's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 10, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1225 Franklin Avenue Suite 150, Garden City, NY 11530RIA
BD
CRD#: 793
Garden City, NY
Current
July 10, 2007 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1225 Franklin Avenue Suite 150, Garden City, NY 11530RIA
BD
CRD#: 793
Garden City, NY
Past
September 29, 2006 - July 10, 2007
RYAN BECK & CO.
RIA
CRD#: 3248
HEWLETT, NY
Past
September 22, 2006 - July 10, 2007
RYAN BECK & CO.
BD
CRD#: 3248
HEWLETT, NY
Past
March 8, 2006 - September 25, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GARDEN CITY, NY
Past
June 30, 2000 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
HARTFORD, CT
Past
July 1, 1994 - July 21, 2000
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
May 27, 1993 - July 7, 1994
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
August 13, 1991 - May 28, 1993
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
July 27, 1989 - October 11, 1990
WOOD-POMERANTZ SECURITIES, INC
BD
CRD#: 24173
Past
June 2, 1989 - July 28, 1989
AUSTIN SECURITIES, INC.
BD
CRD#: 17094
Past
March 22, 1989 - May 4, 1989
REICH & CO., INC.
BD
CRD#: 19611
Past
June 6, 1988 - March 10, 1989
INVESTORS CENTER, INC.
BD
CRD#: 14670
Past
June 30, 1986 - June 1, 1988
PHILIPS, APPEL & WALDEN, INC.
BD
CRD#: 659
Past
January 24, 1985 - June 30, 1986
S. D. COHN & CO.
BD
CRD#: 735
Past
December 18, 1984 - January 14, 1985
TRAUBNER BACH CO., INC.
BD
CRD#: 14368
Past
March 29, 1984 - December 10, 1984
S. D. COHN & CO.
BD
CRD#: 735
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/2/2015)
RR
California(3/2/2020)
RR
Colorado(3/2/2020)
RR
District of Columbia(1/31/2011)
RR
Florida(7/10/2007)
RR
Kansas(11/25/2015)
RR
Maryland(2/9/2012)
RR
Minnesota(3/2/2020)
RR
Missouri(12/21/2021)
RR
New Jersey(7/10/2007)
RR
New York(7/10/2007)
IAR
New York(5/26/2021)
RR
North Carolina(5/28/2024)
RR
Tennessee(7/10/2007)
RR
Texas(9/30/2025)
IAR
Texas(10/1/2025)
RR
Vermont(3/2/2020)
RR
Wyoming(4/6/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
