Lawrence M. Stern
Professional summary
Lawrence Marc Stern is a registered financial professional currently at STERN CAPITAL LLC located in New York, New York.
Lawrence is registered as a RR (Registered Representative) and started their career in finance in 2004. Lawrence has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Lawrence Marc Stern's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2004 - Present
STERN CAPITAL LLC
Office #1: 420 Lexington Avenue Suite 300, New York, NY 10170State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/12/2004)
(6/2/2016)
(5/4/2005)
(12/15/2005)
(11/18/2016)
(11/8/2004)
(3/15/2021)
(10/25/2004)
(10/10/2017)
(5/23/2018)
(8/18/2005)
(10/12/2004)
(1/11/2017)
(9/26/2008)
(10/26/2010)
(3/30/2021)
(1/21/2014)
(1/13/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
STERN CAPITAL LLC
CRD#: 131226 / SEC#: , 8-66433
Contact information
FINRA licenses (23 States and Territories)
Documents
Red Flags
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