Michael L. Placencia

STERN BROTHERS & CO.

Dallas, TX

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CRD#: 3111114

Professional summary

Michael Louis Placencia, who also goes by Michael L Placencia, Michael Placencia, is a registered financial professional currently at STERN BROTHERS & CO. located in Dallas, Texas.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 6 firms and has passed the Series 63, Series 52TO, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael L Placencia | Michael Placencia

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 Michael Louis Placencia's CRS (Customer Relationship Summary).

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

May 9, 2018 - Present

STERN BROTHERS & CO.

CRD#: 16325

Dallas, TX

Past

March 28, 2012 - March 1, 2018

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

SAN FRANCISCO, CA

Past

June 3, 2009 - March 15, 2012

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

July 22, 2008 - June 8, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 6, 2007 - June 18, 2008

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

February 13, 2001 - May 22, 2007

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(6/28/2018)

Delaware
(5/23/2019)

New Jersey
(5/15/2019)

Oregon
(3/24/2021)

Exams

State Security Law Exam

Series 63

Date: 12/22/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/12/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/3/2019

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STERN BROTHERS & CO.

BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Mailing Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Phone number

(314) 727-5519

Established

Missouri since 01/25/1985

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED	TRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012	TRUST
CLEMENTS, DONALD SIDNEY	CHIEF TECHNOLOGY OFFICER	4440518
ESSERT, GLENN EDWARD	CHIEF COMPLIANCE OFFICER, AMLCO	1447868
FINN, PEGGY PRINCE	CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE	730640
FINN, TERRENCE MICHAEL	PRESIDENT, DIRECTOR	1102166
MIRIANI, JASON ANDREW	CFO, TREASURER	4547660
WARREN, KAREN KAY	PRINCIPAL OPERATIONS OFFICER	1316200

Disclosures

Regulatory Event

Red Flags

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Michael L. Placencia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Louis Placencia's CRS (Customer Relationship Summary).

Certified licenses

Experience

U.S. BANCORP INVESTMENTS, INC.

WILLIAM BLAIR

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

UBS SECURITIES LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/2008

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/12/2001

Series 53

Date: 5/3/2019

FINRA

Current Firm

STERN BROTHERS & CO.

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STERN BROTHERS & CO.

TRUST BUT VERIFY

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