Miriam D. Stender
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.
Miriam Dyanne Stender, who also goes by Miriam Dyanne Ring, Miriam D Stender, was a registered financial professional .
Miriam is a previously registered financial professional and started their career in finance in 1995. Miriam had worked at 15 firms and has passed the Series 65, Series 63, Series 7TO, SIE, 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 13, 2020 - October 27, 2021
DALMORE GROUP LLC
December 8, 2016 - December 22, 2017
SAXONY CAPITAL MANAGEMENT, LLC
November 2, 2016 - December 22, 2017
SAXONY SECURITIES, INC.
October 1, 2012 - November 24, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 24, 2014
J.P. MORGAN SECURITIES LLC
August 14, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 14, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 22, 2011 - August 20, 2012
LPL FINANCIAL LLC
May 27, 2008 - August 20, 2012
LPL FINANCIAL LLC
October 16, 2007 - May 27, 2008
IFMG SECURITIES, INC.
April 19, 2007 - October 5, 2007
CHASE INVESTMENT SERVICES CORP.
April 16, 2007 - October 5, 2007
CHASE INVESTMENT SERVICES CORP.
October 14, 2005 - March 28, 2007
ALLSTATE FINANCIAL SERVICES, LLC
January 1, 2005 - September 20, 2005
HSBC SECURITIES (USA) INC.
February 20, 2004 - January 1, 2005
HSBC BROKERAGE (USA) INC.
January 28, 2004 - February 9, 2004
QUICK & REILLY, INC.
January 28, 1999 - January 27, 2004
M&T SECURITIES, INC.
October 29, 1996 - February 4, 1999
VISION SECURITIES INC.
May 23, 1995 - September 19, 1996
KENSINGTON WELLS INCORPORATED
April 6, 1995 - May 3, 1995
DAVID LERNER ASSOCIATES, 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
Series 7TO
Date: 6/28/2024
General Securities Representative ExaminationCurrent Firm
DALMORE GROUP LLC
CRD#: 136352 / SEC#: , 8-67002
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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