Jeffrey J. Dehaven
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.
Jeffrey Jay Dehaven, who also goes by Jeffrey Christopher Pappas, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1984. Jeffrey had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 1998 - May 8, 2000
M.L. STERN & CO., LLC.
October 24, 1995 - February 1, 1996
H.J. MEYERS & CO., INC.
December 10, 1991 - May 10, 1995
SENTRA SECURITIES CORPORATION
January 29, 1990 - August 29, 1991
SPELMAN & CO., INC.
June 19, 1986 - December 7, 1989
UBS FINANCIAL SERVICES INC.
January 14, 1986 - June 11, 1986
CITIGROUP GLOBAL MARKETS INC.
February 25, 1985 - January 4, 1986
M.L. STERN & CO., LLC.
December 21, 1984 - January 7, 1985
UNITED 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
Exams
Current Firm
M.L. STERN & CO., LLC.
CRD#: 8327 / SEC#: , 8-25028
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 7 |
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.
