Robert N. 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.
Robert Neil Stein, who also goes by Robert N Stein, Robert Stein, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1996. Robert had worked at 14 firms and has passed the Series 65, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2014 - March 18, 2015
LAKEWOOD INVESTMENT MANAGEMENT LLC
December 20, 2013 - April 10, 2014
B. RILEY WEALTH ADVISORS, INC.
November 20, 2013 - November 21, 2023
ASTOR INVESTMENT MANAGEMENT LLC
July 2, 2012 - August 26, 2013
VIRTU AMERICAS LLC
April 18, 2011 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
October 27, 2006 - February 3, 2009
SANDERS MORRIS LLC
February 9, 2006 - October 6, 2006
ASTOR PARTNERS, LLC
June 23, 2003 - November 2, 2004
WATERSTONE FINANCIAL GROUP, INC.
April 17, 2003 - December 31, 2003
SAF CAPITAL LLC
November 19, 2001 - August 22, 2013
ASTOR ASSET MANAGEMENT LLC
August 21, 2001 - October 29, 2001
CARLIN EQUITIES, LLC
August 30, 1999 - November 23, 1999
NATIONAL SECURITIES CORPORATION
March 31, 1997 - June 3, 1999
MIDDLEGATE SECURITIES INC.
June 5, 1996 - November 7, 1996
FIRST OPTIONS OF CHICAGO, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Current Firm
LAKEWOOD INVESTMENT MANAGEMENT LLC
CRD#: 168407 / SEC#: 801-79246
Contact information
Red Flags
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