Joseph C. Stein
Professional summary
Joseph C. Stein III, who also goes by Joseph Conrad Stein III, Joseph Stein, is a registered financial professional currently at SOLOMON PARTNERS SECURITIES, LLC located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1992. Joseph has worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph C. Stein III's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 3, 2001 - Present
SOLOMON PARTNERS SECURITIES, LLC
Office #1: 1251 Avenue Of Americas 32nd Floor, New York, NY 10020Office #2: 1251 Avenue Of The Americas 32nd Floor, New York, NY 10020November 17, 1997 - February 20, 2001
UBS SECURITIES LLC
September 8, 1992 - November 3, 1997
CITICORP SECURITIES, 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
(6/30/2024)
(7/3/2001)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
SOLOMON PARTNERS SECURITIES, LLC
CRD#: 28041 / SEC#: , 8-43369
Contact information
FINRA licenses (34 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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