Jeffrey M. Stern
Professional summary
Jeffrey Michael Stern is a registered financial professional currently at FORUM CAPITAL SECURITIES LLC located in New York, New York.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1972. Jeffrey has 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Michael Stern's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 6, 2001 - Present
FORUM CAPITAL SECURITIES LLC
Office #1: 477 Madison Avenue 6th Floor, Pmb #6819, New York, NY 10022Office #2: 477 Madison Avenue 6th Floor, Pmb #6819, New York, NY 10022April 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
(5/7/2013)
(5/9/2013)
(6/18/2007)
(5/17/2013)
(4/26/2013)
(2/2/2010)
(4/26/2010)
(1/25/2010)
(1/11/2010)
(5/6/2013)
(9/6/2001)
(1/13/2010)
(3/16/2010)
(5/16/2013)
(11/3/2009)
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 ExaminationFINRA
Current Firm
FORUM CAPITAL SECURITIES LLC
CRD#: 113855 / SEC#: , 8-53364
Contact information
FINRA licenses (15 States and Territories)
Red Flags
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