Jeffery S. Stone
Professional summary
Jeffery Steven Stone was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffery is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Jeffery had worked at 8 firms, which includes T.L. SMITH SECURITIES, CULLUM & SANDOW SECURITIES INC., LEHMAN BROTHERS INC., PRUDENTIAL EQUITY GROUP LLC, LOVETT UNDERWOOD NEUHAUS & WEBB INC., UNDERWOOD NEUHAUS & CO. INCORPORATED, FIDELITY BROKERAGE SERVICES LLC, GROUP NINE SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 1994 - September 26, 1995
T.L. SMITH SECURITIES
August 24, 1993 - March 22, 1994
CULLUM & SANDOW SECURITIES, INC.
January 13, 1992 - July 13, 1993
LEHMAN BROTHERS INC.
March 5, 1990 - January 9, 1992
PRUDENTIAL EQUITY GROUP, LLC
November 13, 1989 - March 29, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
June 27, 1988 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
August 12, 1987 - August 31, 1987
FIDELITY BROKERAGE SERVICES LLC
August 12, 1987 - July 23, 1988
GROUP NINE SECURITIES CORPORATION
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
T.L. SMITH SECURITIES
CRD#: 17978 / SEC#: , 8-36027
Contact information
Documents
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.
