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MS

Mara D. Stempler

LS SECURITIES
Parsippany, NJ 07054
Some features on this profile are disabled
CRD#: 1807699
MS

Professional summary

Mara Deborah Stempler, who also goes by Mara D Cohen, Mara Deborah Cohen, is a registered financial professional currently at LS SECURITIES, LLC located in Parsippany, New Jersey.

Mara is registered as a RR (Registered Representative) and started their career in finance in 1996. Mara has worked at 4 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mara D Cohen | Mara Deborah Cohen

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mara Deborah Stempler's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 1, 2018 - Present

LS SECURITIES, LLC

Office #1: 4 Campus Drive, Parsippany, NJ 07054
BD
CRD#: 296764
Parsippany, NJ
Past

September 23, 2015 - December 31, 2018

SUMMIT EQUITIES, INC.

BD
CRD#: 11039
PARSIPPANY, NJ
Past

December 11, 2013 - August 27, 2015

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
NEW YORK, NY
Past

January 11, 1996 - November 20, 2013

BURNHAM SECURITIES INC.

BD
CRD#: 22549
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/13/1995
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

LS
LS SECURITIES, LLC
LS SECURITIES, LLC | LUCKYSTRIKE SECURITIES LLC

CRD#: 296764 / SEC#: , 8-70104

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
4 Campus Drive, Parsippany, NJ 07054
Mailing Address
4 Campus Drive, Parsippany, NJ 07054
Phone number
(973) 285-3600
Established
Delaware since 07/10/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SUMMIT FINANCIAL HOLDINGS, LLCSOLE OWNER
BREMER, MICHAEL COLLINCHIEF OPERATIONS OFFICER2286765
HAWKESWORTH, ESMAT BAHARGENERAL COUNSEL5009122
MCELYNN, ANTHONY LAWRENCECHIEF COMPLIANCE OFFICER2267348
STEMPLER, MARA DEBORAHFINOP1807699
WEINMAN, STEVENCEO, DIRECTOR1055954

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.

Company Information

LS SECURITIES, LLC

CRD#: 296764Parsippany, NJ 07054

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