Jason S. Stern
Professional summary
Jason Scott Stern, who also goes by Jay Stern, is a registered financial professional currently at WESTPARK CAPITAL, INC. located in Los Angeles, California.
Jason is registered as a RR (Registered Representative) and started their career in finance in 1991. Jason has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jason Scott Stern's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2005 - Present
WESTPARK CAPITAL, INC.
Office #1: 1800 Century Park East Suite 220, Los Angeles, CA 90067November 4, 2003 - October 8, 2004
BMA SECURITIES, LLC
April 17, 2000 - April 29, 2002
WESTPARK CAPITAL, INC.
November 23, 1998 - March 15, 2000
GLOBAL CAPITAL SECURITIES CORPORATION
March 6, 1998 - September 25, 1998
NATIONAL SECURITIES CORPORATION
April 1, 1997 - January 9, 1998
WALDRON & CO., INC.
February 20, 1996 - March 21, 1997
PRUDENTIAL EQUITY GROUP, LLC
September 23, 1994 - February 12, 1996
INVESTORS ASSOCIATES, INC.
September 12, 1994 - September 27, 1994
COLIN WINTHROP & CO., INC.
March 15, 1993 - August 1, 1994
MEYERS SECURITIES CORPORATION
September 9, 1992 - February 19, 1993
STRATTON OAKMONT INC.
July 23, 1992 - September 11, 1992
A.S. GOLDMEN & CO., INC.
April 28, 1992 - June 18, 1992
HANOVER, STERLING & COMPANY LTD.
July 10, 1991 - May 21, 1992
STRATTON OAKMONT INC.
Primary Firm SEC Registration
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/17/2007)
(10/19/2007)
(3/2/2021)
(1/19/2005)
(10/18/2007)
(10/17/2007)
(10/23/2006)
(10/18/2007)
(7/26/2007)
(10/18/2007)
(10/18/2007)
(10/18/2007)
(9/4/2008)
(10/23/2007)
(10/18/2007)
(10/24/2007)
(5/16/2014)
(3/13/2019)
(10/23/2007)
(10/18/2007)
(10/29/2007)
(10/24/2007)
(10/22/2007)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
WESTPARK CAPITAL, INC.
CRD#: 39914 / SEC#: 801-108275, 8-48898
Contact information
SEC notice filing (21 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 234 |
| AUM (Assets Under Management) | $ 47,569,260 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
