Stephen M. Kerner
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.
Stephen Michael Kerner was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1972. Stephen had worked at 9 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 2012 - January 23, 2015
THE RETIREMENT GROUP, LLC
July 17, 2012 - August 28, 2012
FSC SECURITIES CORPORATION
July 2, 2012 - September 8, 2014
FSC SECURITIES CORPORATION
May 3, 2006 - July 6, 2012
WOODBURY FINANCIAL SERVICES, INC.
May 3, 2006 - July 6, 2012
WOODBURY FINANCIAL SERVICES, INC.
June 1, 2005 - May 9, 2006
EQUITABLE ADVISORS, LLC
June 1, 2005 - May 9, 2006
EQUITABLE ADVISORS, LLC
September 12, 2003 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
April 3, 2003 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
March 12, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
January 22, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
August 27, 2001 - January 31, 2003
NEW ENGLAND SECURITIES
June 8, 2001 - January 31, 2003
NEW ENGLAND SECURITIES
June 22, 1995 - July 6, 2001
MONY SECURITIES CORPORATION
September 5, 1991 - June 30, 1995
THE O.N. EQUITY SALES COMPANY
October 13, 1972 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
October 13, 1972 - September 5, 1991
MONY SECURITIES 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
Series 1
Date: 10/6/1972
Registered Representative ExaminationCurrent Firm
THE RETIREMENT GROUP, LLC
CRD#: 148296 / SEC#: 801-69578
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,773 |
| AUM (Assets Under Management) | $ 544,452,358 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
