Joseph D. Stein
Professional summary
Joseph Daniel Stein, who also goes by Joe Stein, is a registered financial professional currently at FRED ALGER & COMPANY, LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Daniel Stein's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2005 - Present
FRED ALGER & COMPANY, LLC
Office #1: 100 Pearl Street 27th Floor, New York, NY, 10004October 20, 2004 - September 13, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - September 13, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 29, 2004 - October 20, 2004
QUICK & REILLY, INC.
January 6, 2004 - October 20, 2004
QUICK & REILLY, INC.
April 23, 1992 - January 13, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 26, 1992 - January 13, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 1991 - January 8, 1992
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/13/2005)
(9/13/2005)
(7/20/2023)
(9/13/2005)
(7/20/2023)
Exams
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
FRED ALGER & COMPANY, LLC
CRD#: 5300 / SEC#: , 8-15900
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
Red Flags
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