Howard L. 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.
Howard Lawrence Stein, who also goes by Howard Stein, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1989. Howard had worked at 7 firms and has passed the Series 63, Series 3, Series 55, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2011 - April 16, 2012
RANGE GLOBAL LLC
April 5, 2010 - December 5, 2013
BETTERMENT SECURITIES
March 31, 2010 - April 1, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
March 21, 1997 - June 3, 2002
SCHONFELD SECURITIES, LLC
July 17, 1992 - December 18, 1995
CITIGROUP GLOBAL MARKETS INC.
September 28, 1989 - December 31, 1991
CREDIT SUISSE SECURITIES (USA) LLC
July 18, 1989 - October 4, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 5/11/1999
Limited Representative-Equity Trader ExamCurrent Firm
RANGE GLOBAL LLC
CRD#: 104393 / SEC#: , 8-52858
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
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