Stephen M. Barral

GULFSTREAM CM

Summit, NJ 07901

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CRD#: 1303911

Professional summary

Stephen Michael Barral is a registered financial advisor currently at GULFSTREAM CM, LLC located in Summit, New Jersey.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Stephen has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

GULFSTREAM CM, LLC, MANAGING MEMBER, INVESTMENT RELATED, 450 SPRINGFIELD AVENUE, SUMMIT, NJ 07901 30 HOURS PER WEEK, MEMBER BOARD OF TRUSTEES OF PAYLOCK IPT, LLC. 205 W. MAIN STREET, SOMERVILLE, NJ 08876 THE POSITION IS NON-PAYING AND REQUIRES ATTENDANCE AT FOUR QUARTERLY MEETING PER YEAR AND TIME OF 2 TO 4 HOURS PER MONTH OUTSIDE OF REGULAR BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Barral's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 23, 2015 - Present

GULFSTREAM CM, LLC

Office #1: 450 Springfield Avenue, Suite 204, Summit, NJ 07901

RIA

CRD#: 165459

Summit, NJ

Past

June 4, 2015 - December 31, 2024

GULFSTREAM CM, LLC

RIA

CRD#: 165459

SUMMIT, NJ

Past

March 29, 2011 - July 25, 2018

W. H. MELL ASSOCIATES, INC.

CRD#: 23635

SUMMIT, NJ

Past

July 16, 2008 - February 11, 2011

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

May 1, 2001 - July 23, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

NEW YORK, NY

Past

February 24, 2000 - May 1, 2001

JPMSI

CRD#: 15733

NEW YORK, NY

Past

April 29, 1996 - February 23, 2000

HAMILTON PARTNERS LIMITED

CRD#: 29418

NEW YORK, NY

Past

June 14, 1990 - March 28, 1996

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 25, 1984 - May 13, 1989

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

GULFSTREAM CM, LLC

CRD#: 165459 / SEC#: 801-77699

RIA

Registered Investment Advisory firm - (3/20/2013 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Florida
(7/23/2015)

IAR

New Jersey
(2/12/2025)

IAR

Texas
(2/12/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/4/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/26/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/25/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/3/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/25/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 12/5/1994

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

GULFSTREAM CM, LLC

CRD#: 165459 / SEC#: 801-77699

RIA

Registered Investment Advisory firm - (3/20/2013 Approved)

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Contact information

Main Address

450 Springfield Avenue, Suite 204, Summit, NJ 07901

Mailing Address

Phone number

(908) 918-1600

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GULFSTREAM CM, LLC ADV PART 2 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	22
AUM (Assets Under Management)	$ 227,657,107

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Stephen M. Barral

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Barral's CRS (Customer Relationship Summary).

Certified licenses

Experience

GULFSTREAM CM, LLC

W. H. MELL ASSOCIATES, INC.

BARCLAYS CAPITAL INC.

J.P. MORGAN SECURITIES INC.

JPMSI

HAMILTON PARTNERS LIMITED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

GULFSTREAM CM, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/2015

Series 63

Date: 10/26/1984

SIE

Date: 7/25/2018

Series 55

Date: 11/3/2000

Series 7

Date: 10/20/1984

Series 24

Date: 9/25/2000

Series 8

Date: 12/5/1994

Current Firm

GULFSTREAM CM, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GULFSTREAM CM, LLC

TRUST BUT VERIFY

Contact information

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