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JS

John S. Stein

REDMONT CAPITAL MARKETS LLC
Birmingham, AL 35209
Some features on this profile are disabled
CRD#: 2179065
JS

Professional summary

John Stanley Stein is a registered financial professional currently at REDMONT CAPITAL MARKETS LLC located in Birmingham, Alabama.

John is registered as a RR (Registered Representative) and started their career in finance in 1992. John has worked at 4 firms and has passed the Series 66, SIE 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view John Stanley Stein'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

April 13, 2023 - Present

REDMONT CAPITAL MARKETS LLC

Office #1: 820 Shades Creek Parkway Suite 1200, Birmingham, AL 35209
BD
CRD#: 300536
Birmingham, AL
Past

September 5, 2017 - April 10, 2023

NBC SECURITIES, INC.

BD
CRD#: 17870
BIRMINGHAM, AL
Past

September 12, 2000 - September 26, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

April 20, 1992 - March 29, 1995

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY

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
Alabama
(4/17/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/22/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/1991
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RC
REDMONT CAPITAL MARKETS LLC
REDMONT CAPITAL MARKETS LLC

CRD#: 300536 / SEC#: , 8-70291

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

Main Address
820 Shades Creek Parkway Suite 1200, Birmingham, AL 35209
Mailing Address
820 Shades Creek Parkway Suite 1200, Birmingham, AL 35209
Phone number
(205) 943-5125
Established
Delaware since 12/20/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 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#
REDMONT & COMPANY LLCSOLE MEMBER
HODGES, PHILIP LAWTONPRINCIPAL6042367
SELLERS, DOUGLASPRESIDENT/CEO/FINOP/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER1402695

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

REDMONT CAPITAL MARKETS LLC

CRD#: 300536Birmingham, AL 35209

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