Keil B. 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.
Keil Brian Stern was a registered financial professional .
Keil is a previously registered financial professional and started their career in finance in 1987. Keil had worked at 10 firms and has passed the Series 63, 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
March 8, 2012 - March 3, 2015
NATIONAL SECURITIES CORPORATION
August 13, 2007 - February 14, 2012
PACIFIC WEST SECURITIES, INC.
August 31, 1998 - July 25, 2007
BROOKSTREET SECURITIES CORPORATION
August 2, 1994 - September 14, 1998
BARBER & BRONSON INCORPORATED
November 24, 1990 - August 11, 1994
CHATFIELD DEAN & CO., INC.
October 1, 1990 - November 30, 1990
THE STUART-JAMES COMPANY, INCORPORATED
January 1, 1990 - October 24, 1990
JOSEPHTHAL & CO., INC.
January 2, 1989 - December 21, 1989
J F LOWE & COMPANY INCORPORATED
January 4, 1988 - December 13, 1988
GREENTREE SECURITIES CORP.
May 21, 1987 - February 3, 1988
BROOKS WEINGER ROBBINS & LEEDS 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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
