Edwin H Stern Iii
Professional Summary
Edwin H Stern III, who also goes by Edwin Stern III, was a registered financial advisor. Edwin was a previously registered financial professional and started their career in finance 1985 - 2003. Edwin had worked at 2 firms and has passed the Series 55 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Edwin Stern Iii
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
DOFT & CO., INC.
Contact Information
Main Address
55 East 59th Street 12th Floor, New York, NY 10022Mailing Address
55 East 59th Street 12th Floor, New York, NY 10022Phone Number
(212) 421-5550Established
New York since 08/03/1961Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DOFT, ALAN | DIRECTOR | 69360 |
| DOFT, JONATHAN ANDREW | SECRETARY/DIRECTOR | 2320497 |
| DOFT, JONATHAN ANDREW | CHIEF COMPLIANCE OFFICER (CCO) | 2320497 |
| DOFT, JONATHAN ANDREW | PRESIDENT | 2320497 |
| DOFT, JONATHAN ANDREW | OPERATIONS PRINCIPAL | 2320497 |
| DOFT, RACHEL ALISON | DIRECTOR | 2320922 |
| HAMAOUI, ROBERT C | VICE PRESIDENT | 1333905 |
| HAMAOUI, ROBERT C | FINANCIAL PRINCIPAL | 1333905 |
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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