Michael B. Stern
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.
Michael Barry Stern, who also goes by Michael Stern, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2013 - January 27, 2016
HERBERT J. SIMS & CO, INC.
February 24, 2004 - August 5, 2013
NEWBRIDGE SECURITIES CORPORATION
October 11, 2002 - January 3, 2003
CAPITAL GROWTH FINANCIAL, LLC
July 26, 2002 - February 26, 2004
CAPITAL GROWTH FINANCIAL, LLC
January 2, 2002 - July 25, 2002
LADENBURG CAPITAL MANAGEMENT INC.
October 16, 1998 - January 2, 2002
LADENBURG THALMANN & CO. INC.
November 6, 1995 - August 31, 1998
JWGENESIS SECURITIES, INC.
June 22, 1993 - October 26, 1995
MORGAN STANLEY DW INC.
October 16, 1992 - April 28, 1993
BILTMORE 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
Exams
Current Firm
HERBERT J. SIMS & CO, INC.
CRD#: 3420 / SEC#: , 8-3315
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEKSYS CORPORATION | OWNER | |
| DIAMOND, JASON HOWARD | CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL | 2320884 |
| RULNICK, AARON M | DIRECTOR | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| MULLANE, DANIEL JOSEPH | MANAGING PRINCIPAL | 1246435 |
| SANDS, R JEFFREY | DIRECTOR | 4285040 |
| SIMS, WILLIAM BARNETT | PRESIDENT/CEO | 425019 |
Disclosures
| Regulatory Event | 8 |
| 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.
