Jason A. Stein
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.
Jason Andrew Stein, who also goes by Jason Stein, was a registered financial professional .
Jason is a previously registered financial professional and started their career in finance in 1999. Jason had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 11, 2009 - May 15, 2012
TRIPOINT GLOBAL EQUITIES/BANQ(R)
May 19, 2004 - March 3, 2009
H.C.WAINWRIGHT & CO., LLC
January 3, 2001 - July 15, 2002
AUGMENT SECURITIES INC.
July 9, 1999 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 9, 1999 - December 14, 2000
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
TRIPOINT GLOBAL EQUITIES/BANQ(R)
CRD#: 143174 / SEC#: , 8-67540
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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