Alexander H. Stern
Professional summary
Alexander Humberto Stern, who also goes by Alex Humberto Stern, is a registered financial professional currently at PHX FINANCIAL, INC. located in Hauppauge, New York.
Alexander is registered as a RR (Registered Representative) and started their career in finance in 1995. Alexander has worked at 15 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alexander Humberto Stern's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 23, 2015 - Present
PHX FINANCIAL, INC.
Office #1: 150 Motor Parkway Suite 309, Hauppauge, NY 11788March 13, 2015 - March 20, 2015
SIXTEEN SECURITIES, INC.
March 5, 2013 - March 17, 2015
BROOKVILLE CAPITAL PARTNERS
March 29, 2012 - March 6, 2013
BLACKBOOK CAPITAL, LLC
February 20, 2012 - March 28, 2012
WESTOR CAPITAL GROUP, INC.
July 3, 2008 - December 13, 2011
FIRST MIDWEST SECURITIES, INC.
June 13, 2005 - June 30, 2008
BASIC INVESTORS INC.
September 9, 2004 - May 19, 2005
MILESTONE GROUP MANAGEMENT LLC
May 23, 2003 - August 27, 2004
DELTA ASSET MANAGEMENT COMPANY, LLC
October 2, 2001 - May 15, 2003
W.A. CAPITAL MARKETS
February 13, 2001 - October 10, 2001
WEATHERLY SECURITIES CORPORATION
July 13, 1998 - February 9, 2001
TASIN & COMPANY, INC.
March 20, 1998 - July 8, 1998
MORGAN GRANT CAPITAL CORP.
January 14, 1997 - March 31, 1998
ROYCE INVESTMENT GROUP, INC.
February 23, 1995 - November 22, 1996
KENSINGTON WELLS INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/16/2015)
(4/30/2015)
(4/6/2015)
(4/2/2015)
(4/22/2015)
(4/22/2024)
(7/14/2015)
(5/23/2016)
(3/23/2015)
(3/23/2015)
(5/8/2015)
(3/23/2015)
(4/23/2015)
(3/23/2015)
(4/22/2015)
(3/23/2015)
(2/10/2016)
(3/23/2015)
Exams
FINRA
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Red Flags
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