JS
John P. Stein
DBA STEIN INVESTMENT SERVICES
Cortlandt Manor, NY
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CRD#: 4436472
JS
Professional summary
John Picard Stein is a registered financial advisor currently at DBA STEIN INVESTMENT SERVICES located in Cortlandt Manor, New York.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2023. John has worked at 1 firm .
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
CRS (Client Relationship Summary) - RIA
Click below to view John Picard Stein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
December 21, 2023 - Present
DBA STEIN INVESTMENT SERVICES
RIA
CRD#: 112135
Cortlandt Manor, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(12/21/2023)
Exams
Current Firm
DS
DBA STEIN INVESTMENT SERVICES
DBA STEIN INVESTMENT SERVICES | STEIN INVESTMENT SERVICES | JOHN PICARD STEIN , PH.D.
CRD#: 112135 / SEC#:
California
Registered Investment Advisory firm - (1/17/1985 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Cortlandt Manor, NY
Mailing Address
Phone number
(646) 338-7696
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 10,486,000 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
