Arthur 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.
Arthur B Stern was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1993. Arthur had worked at 9 firms and has passed the Series 65, Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 8, 2013 - April 4, 2014
G-2 TRADING,LLC
December 1, 2008 - June 15, 2011
FIRST NEW YORK SECURITIES L.L.C.
January 8, 2008 - December 4, 2008
RAYMOND JAMES & ASSOCIATES, INC.
July 2, 2007 - January 2, 2008
BATTENKILL CAPITAL, INC.
September 8, 2003 - August 15, 2005
SUSQUEHANNA FINANCIAL GROUP, LLLP
February 18, 2000 - August 27, 2003
TOBIAS BROS. INC.
January 16, 1998 - January 6, 2000
ON-SITE TRADING, INC.
September 6, 1995 - February 3, 1997
SCHONFELD SECURITIES, LLC
August 5, 1994 - September 11, 1995
ON-SITE TRADING, INC.
October 19, 1993 - July 8, 1994
DB ALEX. BROWN LLC
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
Series 55
Date: 10/20/1999
Limited Representative-Equity Trader ExamCurrent Firm
G-2 TRADING,LLC
CRD#: 44018 / SEC#: , 8-50510
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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