William M. Stern
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.
William Morris Stern, who also goes by Morris William Stern, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1986. William had worked at 4 firms and has passed the Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2023 - March 5, 2024
HUNTLEIGH SECURITIES CORPORATION
September 23, 1999 - January 2, 2023
STERN BROTHERS & CO.
June 21, 1997 - August 17, 1999
MERCANTILE INVESTMENT SERVICES, INC.
June 28, 1995 - June 21, 1997
MARK TWAIN BROKERAGE SERVICES, INC.
May 20, 1986 - March 31, 1994
MARK TWAIN BROKERAGE SERVICES, INC.
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
Series 52TO
Date: 1/5/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
HUNTLEIGH SECURITIES CORPORATION
CRD#: 7456 / SEC#: , 8-21893
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHAMBERS, ROBERT LEWIS | PRESIDENT/DIRECTOR/OWNER | 1231649 |
| GAO CONSULTING, LLC | OWNER | |
| CHAMBERS, ROBERT BARRETT | DIRECTOR | 6963634 |
| LEOPOLD, MICHAEL WARREN | DIRECTOR | 306991 |
| MARSHALL, CATHERINE TERRY | CCO/DIRECTOR/CORPORATE SECRETARY | 1445205 |
| O'CONNELL, CHRISTOPHER CORY | DIRECTOR | 5008251 |
| OVERSCHMIDT, GREG ALFRED | DIRECTOR | 1160877 |
| THOMAS, KAREN LEE | CHIEF OPERATIONS OFFICER AND FIN/OP | 1970467 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
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.
