Jeffrey M. Stern
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.
Jeffrey Michael Stern was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1972. Jeffrey had worked at 4 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 7TO, SIE, Series 50, Series 5, PC, Series 1, Series 14, Series 4 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 6, 2001 - July 10, 2026
FORUM CAPITAL SECURITIES LLC
April 3, 1988 - April 18, 1995
CIBC WORLD MARKETS CORP.
August 30, 1976 - November 2, 2000
CIBC WORLD MARKETS CORP.
August 5, 1975 - September 6, 1976
BECKER SECURITIES INCORPORATED
May 18, 1972 - September 4, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationPC
Date: 5/27/1977
AMEX Put and Call ExamSeries 1
Date: 5/17/1972
Registered Representative ExaminationCurrent Firm
FORUM CAPITAL SECURITIES LLC
CRD#: 113855 / SEC#: , 8-53364
Contact information
FINRA licenses (14 States and Territories)
Red Flags
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