Jesse E. 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.
Jesse E Stein was a registered financial professional .
Jesse is a previously registered financial professional and started their career in finance in 2002. Jesse had worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2021 - January 3, 2022
OPENDEAL BROKER LLC
February 27, 2004 - October 1, 2004
TRILLIUM BROKERAGE SERVICES, LLC
September 15, 2003 - December 17, 2003
SCHONFELD SECURITIES, LLC
March 3, 2003 - September 17, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
August 19, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 1/14/2021
General Securities Representative ExaminationSeries 55
Date: 7/25/2001
Limited Representative-Equity Trader ExamCurrent Firm
OPENDEAL BROKER LLC
CRD#: 297797 / SEC#: , 8-70188
Contact information
Documents
Red Flags
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