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BS

Bradley C. Stern

PICKWICK CAPITAL PARTNERS
White Plains, NY 10601
Some features on this profile are disabled
CRD#: 1948760
BS

Professional summary

Bradley Charles Stern is a registered financial professional currently at PICKWICK CAPITAL PARTNERS, LLC located in White Plains, New York.

Bradley is registered as a RR (Registered Representative) and started their career in finance in 1989. Bradley has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
In addition to his role at Boustead and Sutter, Mr. Stern is also the Managing Member of CTA Capital LLC. The firm is a CTA and he raises capital for other CTA's as an introducer through this entity. Boustead is not a registered CTA. Mr. Stern dedicates 5-10 hours per week in this role which is investment related. Mr. Stern is also an economic owner of AIS Capital Management LLC. He has no roles or responsibilities at AIS.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bradley Charles Stern's CRS (Customer Relationship Summary).
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

July 16, 2025 - Present

PICKWICK CAPITAL PARTNERS, LLC

Office #1: 445 Hamilton Avenue Suite 1102, White Plains, NY 10601
BD
CRD#: 130672
White Plains, NY
Past

July 9, 2024 - July 23, 2025

GQR SECURITIES LLC

BD
CRD#: 300998
Greenwich, CT
Past

May 5, 2021 - April 16, 2024

SUTTER CAPITAL PARTNERS, LLC

RIA
CRD#: 312689
Norwalk, CT
Past

May 4, 2021 - April 16, 2024

BOUSTEAD SECURITIES, LLC

BD
CRD#: 141391
IRVINE, CA
Past

January 28, 2021 - May 3, 2021

XTON FINANCIAL LLC

BD
CRD#: 132847
NEW YORK, NY
Past

November 19, 2019 - December 31, 2020

CORNWALL PARTNERS, LLC

BD
CRD#: 141684
New York, NY
Past

June 8, 1993 - February 16, 2021

AIS CAPITAL MANAGEMENT L.P.

RIA
CRD#: 107971
WILTON, CT
Past

December 19, 1989 - April 23, 1993

FINANCIAL SQUARE PARTNERS

BD
CRD#: 1541

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(7/16/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/16/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/9/1992
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/19/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/28/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/16/1993
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1989
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

PC
PICKWICK CAPITAL PARTNERS, LLC
JAVELIN SECURITIES, LLC | STRATEGIC FINANCIAL SERVICES GROUP | PICKWICK SECURITIES, LLC | PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672 / SEC#: , 8-66373

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

Main Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601
Mailing Address
445 Hamilton Avenue Suite 1102, White Plains, NY 10601
Phone number
(914) 358-3269
Established
Delaware since 08/21/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GREENWOOD, DOUGLAS CHARLES WILLIAMPRESIDENT1192611
DANOVITCH, DAVID EMANAGING PRINCIPAL, GENERAL COUNSEL3013350
KAPLOWITZ, JAYMEMBER
ROSE, JOHN IRVING IIMEMBER2790640
WU, CHIH-CHUNMEMBER5704739
FJC CAPITAL INC.OWNER
VAN SCHAACK, JOHN GREGORYMEMBER1121171
ABRAMCZYK, JANE ECCO4801666
ACCESS MEDIA ADVISORY LLCMEMBER
GENDRON, KAREN MARIEFINOP1503330

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

PICKWICK CAPITAL PARTNERS, LLC

CRD#: 130672White Plains, NY 10601

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