Thomas E. Stern
Professional summary
Thomas Edward Stern was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Thomas is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Thomas had worked at 7 firms, which includes OX TRADING LLC, BROKERSXPRESS LLC, OPTIONSXPRESS INC., EZ STOCKS INC., REGAL SECURITIES INC., TRADERS SERVICES INC., SECURITIES OPTIONS CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 17, 2011 - February 8, 2012
OX TRADING, LLC
September 30, 2003 - February 8, 2012
BROKERSXPRESS LLC
December 20, 2001 - February 8, 2012
OPTIONSXPRESS, INC.
November 24, 2000 - November 26, 2001
EZ STOCKS, INC.
March 30, 1999 - February 11, 2000
REGAL SECURITIES, INC.
October 4, 1990 - March 23, 1999
TRADERS SERVICES, INC.
February 21, 1989 - March 10, 1990
SECURITIES OPTIONS CORP.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OX TRADING, LLC
CRD#: 154667 / SEC#: , 8-68660
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OPTIONSXPRESS HOLDINGS, INC. | SOLE MEMBER | |
| BOTTINI, PETER JAMES | PRESIDENT / DIRECTOR / CCO | 2229069 |
Disclosures
| Regulatory Event | 4 |
| Bond | 1 |
Red Flags
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