Thomas Edward Stern
Professional Summary
Thomas Edward Stern, who also goes by Thomas E Stern, was a registered financial advisor. Thomas was a previously registered financial professional and started their career in finance 1989 - 2012. Thomas had worked at 7 firms and has passed the Series 63, Series 3, Series 7, Series 27, Series 4 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas E Stern
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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
37 years in the financial services industry
Current & Past Employments
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Current Firm
OX TRADING, LLC
Contact Information
Established
Delaware since 08/20/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OPTIONSXPRESS HOLDINGS, INC. | SOLE MEMBER | — |
| BOTTINI, PETER JAMES | PRESIDENT / DIRECTOR / CCO | 2229069 |
Disclosures
Regulatory Event
4Bond
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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.
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.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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