John D. Sternfield
Professional summary
John Davis Sternfield is a registered financial professional currently at BA SECURITIES, LLC located in San Francisco, California.
John is registered as a RR (Registered Representative) and started their career in finance in 1979. John has worked at 10 firms and has passed the Series 63, Series 65, Series 79TO, SIE, Series 7, Series 15, Series 52 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Davis Sternfield's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 23, 2018 - Present
BA SECURITIES, LLC
Office #1: 704 Sansome Street, San Francisco, CA 94111June 23, 2017 - April 10, 2018
HEADWATERS BD, LLC
January 25, 2017 - June 8, 2017
PETSKY PRUNIER SECURITIES, LLC
March 8, 2012 - January 19, 2017
PETSKY PRUNIER SECURITIES, LLC
January 25, 2010 - March 12, 2012
NORTH POINT MERGERS AND ACQUISITIONS, INC.
September 8, 2006 - April 17, 2009
CANTOR FITZGERALD & CO.
August 25, 2000 - July 3, 2002
PIPER SANDLER & CO.
January 16, 1996 - July 3, 2002
PIPER SANDLER & CO.
November 13, 1992 - September 21, 1995
MONTGOMERY SECURITIES
January 18, 1991 - December 22, 1992
FEELEY & WILLCOX SECURITIES CORP.
September 6, 1985 - October 16, 1991
PERSHING LLC
April 11, 1979 - September 25, 1981
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/23/2018)
(2/23/2018)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 15
Date: 6/12/1984
Foreign Currency Options ExaminationFINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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