David S. Stein
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.
David Stanley Stein was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1987. David had worked at 5 firms and has passed the Series 63, 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
June 18, 1997 - May 2, 2001
COMMONWEALTH ASSOCIATES
January 15, 1996 - May 23, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
February 3, 1995 - January 22, 1996
FIRST ASSET MANAGEMENT, INC.
May 10, 1994 - January 30, 1995
BERKELEY SECURITIES CORPORATION
July 13, 1988 - May 5, 1994
COMMONWEALTH ASSOCIATES
August 21, 1987 - July 6, 1988
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
COMMONWEALTH ASSOCIATES
CRD#: 20833 / SEC#: , 8-38505
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 10 |
Red Flags
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