Erik K. Penzin
Professional summary
Erik Karl Penzin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Erik is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Erik had worked at 2 firms, which includes M.L. STERN & CO. LLC., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2004 - February 21, 2006
M.L. STERN & CO., LLC.
April 24, 1995 - February 21, 2006
M.L. STERN & CO., LLC.
August 8, 1994 - May 5, 1995
PRUDENTIAL EQUITY GROUP, LLC
February 21, 1991 - August 2, 1994
M.L. STERN & CO., LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
M.L. STERN & CO., LLC.
CRD#: 8327 / SEC#: , 8-25028
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
Red Flags
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