Steven E. 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.
Steven Emanuel Stern was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1968. Steven had worked at 7 firms and has passed the SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 29, 2011 - January 29, 2016
BURNHAM SECURITIES INC.
October 17, 1991 - December 17, 2010
BRAVER STERN SECURITIES LLC
May 30, 1974 - October 29, 1991
TP ICAP GLOBAL MARKETS AMERICAS LLC
December 1, 1971 - July 7, 1974
COLIN HACHSTIN & CO
November 10, 1971 - January 9, 1972
WEIS SECURITIES, INC.
December 10, 1968 - June 14, 1973
BROOKDALE SECURITIES CORPORATI ON
July 10, 1968 - May 6, 1971
DRACHMAN AND COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 7/26/1977
AMEX Put and Call ExamSeries 1
Date: 7/8/1968
Registered Representative ExaminationCurrent Firm
BURNHAM SECURITIES INC.
CRD#: 22549 / SEC#: 801-65646, 8-39788
Contact information
Disclosures
| Regulatory Event | 6 |
Red Flags
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