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MS

Mitchell S. Stern

DRESNER INVESTMENT SERVICES
Chicago, IL 60603
Some features on this profile are disabled
CRD#: 2829116
MS

Professional summary

Mitchell Scott Stern is a registered financial professional currently at DRESNER INVESTMENT SERVICES, INC. located in Chicago, Illinois.

Mitchell is registered as a RR (Registered Representative) and started their career in finance in 1996. Mitchell has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mitchell Scott Stern's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 26, 2012 - Present

DRESNER INVESTMENT SERVICES, INC.

Office #1: 10 S. Lasalle Suite 2170, Chicago, IL 60603
BD
CRD#: 35145
Chicago, IL
Past

August 17, 2009 - January 4, 2012

MORGAN JOSEPH TRIARTISAN LLC

BD
CRD#: 10948
NEW YORK, NY
Past

September 7, 2007 - July 7, 2009

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

March 1, 2004 - October 22, 2007

GLOCAP FUNDING, LLC

BD
CRD#: 122364
NEW YORK, NY
Past

June 8, 1999 - December 11, 2001

NEEDHAM & COMPANY, LLC

BD
CRD#: 16360
NEW YORK, NY
Past

December 5, 1996 - May 12, 1999

SCHRODER & CO. INC.

BD
CRD#: 6112
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(4/17/2017)
RR
New York
(1/26/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 3/4/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/27/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/10/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DI
DRESNER INVESTMENT SERVICES, INC.
DRESNER INVESTMENT SERVICES, INC. | DRESNER PARTNERS

CRD#: 35145 / SEC#: , 8-46575

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
10 S. Lasalle Suite 2170, Chicago, IL 60603
Mailing Address
10 S. Lasalle Suite 2170, Chicago, IL 60603
Phone number
(312) 780-7222
Established
Illinois since 04/12/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DRESNER, STEVEN MARKPRESIDENT/CHIEF COMPLIANCE OFFICER2406965
YTTERBERG, BRIAN VICTORCHIEF OPERATING OFFICER3193521

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DRESNER INVESTMENT SERVICES, INC.

CRD#: 35145Chicago, IL 60603

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