William M. Stein
Professional summary
William Maynard Stein is a registered financial professional currently at CELADON FINANCIAL GROUP LLC located in Hawthorne, New Jersey.
William is registered as a RR (Registered Representative) and started their career in finance in 1984. William has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Maynard Stein's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2005 - Present
CELADON FINANCIAL GROUP LLC
May 21, 2002 - June 2, 2005
TRADE MANAGE CAPITAL, INC.
November 21, 1994 - May 22, 2002
AUGMENT SECURITIES INC.
August 8, 1994 - November 21, 1994
OPPENHEIMER & CO. INC.
May 8, 1989 - August 8, 1994
REICH & CO., INC.
March 31, 1988 - May 17, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
January 15, 1987 - April 7, 1988
LINSCO FINANCIAL GROUP, INC.
July 19, 1984 - January 15, 1987
RADFORD CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/1/2005)
(6/1/2005)
(6/1/2005)
(6/1/2005)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/12/2009
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
CELADON FINANCIAL GROUP LLC
CRD#: 36538 / SEC#: , 8-47288
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HERSCH, DARYL SCOTT | CEO/MAJORITY MEMBER/GSP/ROSFP | 1255474 |
| CAMBRIA HOLDINGS, INC. | MINORITY MEMBER | |
| COSTINE, MELISSA ANNE | OPERATIONS MANAGER/GSP | 2646983 |
| NAVAS, NELSON GABRIEL | CFO/FINOP/GSP | 5092353 |
| PASTINE, ARMAND RALPH | HEAD OF CAPITAL MARKETS/GSP | 2257531 |
| WALDMAN, PAUL MITCHELL | CCO/AMLCO/GSP/ROSFP | 1885767 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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