Greg 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.
Greg Stein was a registered financial professional .
Greg is a previously registered financial professional and started their career in finance in 1992. Greg had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - July 16, 2015
DAVID LERNER ASSOCIATES, INC.
January 3, 2007 - December 31, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 10, 2003 - August 17, 2006
NEWBRIDGE SECURITIES CORPORATION
June 26, 2003 - November 21, 2003
HIGH MARK SECURITIES, INC.
December 5, 2000 - July 9, 2003
MML INVESTORS SERVICES, LLC
June 19, 2000 - October 11, 2000
MUTUAL SERVICE CORPORATION
October 15, 1998 - June 20, 2000
PRIME CAPITAL SERVICES, INC.
April 14, 1998 - June 29, 1998
JOSEPH CHARLES & ASSOC., INC.
February 27, 1997 - April 24, 1998
WMA SECURITIES, INC.
January 31, 1994 - April 7, 1994
STONEX SECURITIES INC.
October 26, 1993 - December 3, 1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 26, 1993 - December 3, 1993
SIGNATOR INVESTORS, INC.
October 16, 1992 - December 8, 1992
NATIONAL PLANNING CORPORATION
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
DAVID LERNER ASSOCIATES, INC.
CRD#: 5397 / SEC#: , 8-20746
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 22 |
| Arbitration | 19 |
Red Flags
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