Alice E. Livingston
Professional summary
Alice Emily Livingston, who also goes by Alice Livingston, is a registered financial professional currently at STERN BROTHERS & CO. located in Alameda , California.
Alice is registered as a RR (Registered Representative) and started their career in finance in 2007. Alice has worked at 7 firms and has passed the Series 63, Series 82TO, Series 52TO, SIE, Series 50, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alice Emily Livingston's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 13, 2023 - Present
STERN BROTHERS & CO.
October 5, 2019 - January 13, 2023
BLAYLOCK VAN, LLC
August 19, 2014 - September 18, 2019
BACKSTROM MCCARLEY BERRY & CO., LLC
March 1, 2012 - August 15, 2014
STIFEL, NICOLAUS & COMPANY, INCORPORATED
January 31, 2011 - March 1, 2012
THOMAS WEISEL PARTNERS LLC
November 13, 2007 - September 30, 2009
KINSELL, NEWCOMB & DE DIOS, INC
November 13, 2007 - September 30, 2009
ALTA VISTA FINANCIAL, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/13/2023)
(1/13/2023)
Exams
Series 82TO
Date: 1/13/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
STERN BROTHERS & CO.
CRD#: 16325 / SEC#: , 8-33724
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED | TRUST | |
| PEGGY P. FINN 2012 TRUST DATED 12-21-2012 | TRUST | |
| CLEMENTS, DONALD SIDNEY | CHIEF TECHNOLOGY OFFICER | 4440518 |
| ESSERT, GLENN EDWARD | CHIEF COMPLIANCE OFFICER, AMLCO | 1447868 |
| FINN, PEGGY PRINCE | CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE | 730640 |
| FINN, TERRENCE MICHAEL | PRESIDENT, DIRECTOR | 1102166 |
| MIRIANI, JASON ANDREW | CFO, TREASURER | 4547660 |
| WARREN, KAREN KAY | PRINCIPAL OPERATIONS OFFICER | 1316200 |
Disclosures
| Regulatory Event | 1 |
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.
