Terry L. 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.
Terry Lee Stein was a registered financial advisor .
Terry is a previously registered financial advisor and started their career in finance in 1993. Terry had worked at 6 firms and has passed the Series 63, Series 65, 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
October 15, 2008 - November 2, 2009
BROKERSXPRESS LLC
September 10, 2003 - October 17, 2008
FIRST MONTAUK SECURITIES CORP.
May 29, 2003 - October 17, 2008
FIRST MONTAUK SECURITIES CORP.
November 17, 2000 - February 28, 2001
MUTUAL SECURITIES, INC.
August 12, 1998 - March 26, 1999
NATIONAL SECURITIES CORPORATION
March 18, 1998 - October 31, 2011
PACIFIC NORTHWEST ASSET MANAGEMENT, INC.
May 30, 1995 - May 26, 1998
FIRST MONTAUK SECURITIES CORP.
October 25, 1993 - May 22, 1995
ENERIC FINANCIAL SERVICES, 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
BROKERSXPRESS LLC
CRD#: 127081 / SEC#: 801-66123, 8-65953
Contact information
Disclosures
| Regulatory Event | 6 |
| Bond | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
