Samuel S. Stern

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CRD#: 4424447

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.

Samuel Shamus Stern, who also goes by Samuel S Stern, Sam Stern, was a registered financial professional .

Samuel is a previously registered financial professional and started their career in finance in 2001. Samuel had worked at 6 firms and has passed the Series 63, Series 6TO, Series 82TO, SIE, Series 62, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Samuel S Stern | Sam Stern

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 15, 2024 - July 22, 2024

OPENDEAL BROKER LLC

CRD#: 291387

NEW YORK, NY

Past

June 2, 2023 - July 25, 2023

CHATSWORTH SECURITIES LLC

CRD#: 40804

GREENWICH, CT

Past

March 21, 2023 - March 21, 2023

PFS INVESTMENTS INC.

CRD#: 10111

BRIARCLIFF MANOR, NY

Past

March 26, 2021 - January 2, 2023

FINALIS SECURITIES LLC

CRD#: 305908

NEW YORK, NY

Past

November 14, 2019 - January 29, 2021

STILLPOINT CAPITAL, LLC

CRD#: 133146

TAMPA, FL

Past

July 2, 2018 - September 9, 2019

AVALON SECURITIES, LTD.

CRD#: 30522

NEW YORK, NY

Past

March 6, 2015 - March 27, 2015

PFS INVESTMENTS INC.

CRD#: 10111

BRIARCLIFF MANOR, NY

Past

September 20, 2001 - February 5, 2007

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 8/7/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 12/2/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 82TO

Date: 11/24/2019

Limited Representative-Private Securities Offerings

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 62

Date: 6/16/2018

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 3/6/2015

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/3/2002

Investment Company Products/Variable Contracts Principal Examination

Current Firm

OPENDEAL BROKER LLC

CAPITAL R | REPUBLIC SECURITIES | OPENDEAL BROKER LLC | OPENDEAL BROKER | NEXTSEED SECURITIES, LLC

CRD#: 291387 / SEC#: , 8-70055

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

149 5th Avenue 10th Fl, New York, NY 10010

Mailing Address

149 East 22st 10th Fl, New York, NY 10010

Phone number

(607) 227-1036

Established

Delaware since 08/29/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
OPENDEAL, INC.	SOLE MEMBER AND MANAGER
EPSTEIN, IAN	CEO	7217572
KUHNEL, EDWARD CAMPBELL	CCO	4912658
SULLIVAN, CASEY A	FINOP	5166360

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Samuel S. Stern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CHATSWORTH SECURITIES LLC

PFS INVESTMENTS INC.

FINALIS SECURITIES LLC

STILLPOINT CAPITAL, LLC

AVALON SECURITIES, LTD.

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/7/2018

Series 6TO

Date: 12/2/2022

Series 82TO

Date: 11/24/2019

SIE

Date: 10/1/2018

Series 62

Date: 6/16/2018

Series 6

Date: 3/6/2015

Series 26

Date: 9/3/2002

Current Firm

OPENDEAL BROKER LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

OPENDEAL BROKER LLC

TRUST BUT VERIFY

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