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SL

Stephen Lande

BROOKFIELD SECURITIES LLC
New York, NY 10281
Some features on this profile are disabled
CRD#: 5158600
SL

Professional summary

Stephen Lande, who also goes by Stephen B Lande, Stephen Bronfman Lande, is a registered financial professional currently at BROOKFIELD SECURITIES LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2012. Stephen has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen B Lande | Stephen Bronfman Lande

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Lande'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®
None

Experience

Current

May 22, 2025 - Present

BROOKFIELD SECURITIES LLC

Office #1: 250 Vesey St 15th Floor, New York, NY 10281
BD
CRD#: 327792
New York, NY
Past

May 6, 2022 - April 15, 2025

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK, NY
Past

September 25, 2015 - March 4, 2022

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
New York, NY
Past

November 16, 2012 - August 19, 2015

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(5/22/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/15/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/20/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 8/29/2012
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BROOKFIELD SECURITIES LLC
BROOKFIELD SECURITIES LLC

CRD#: 327792 / SEC#: , 8-71170

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
250 Vesey Street 15th Floor, New York, NY 10281
Mailing Address
250 Vesey Street 15th Floor, New York, NY 10281
Phone number
(212) 978-1737
Established
Delaware since 07/13/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BCS HOLDINGS I LPOWNER
BECK, RAFAELFINOP5718571
BEDORE, ELISABETHCHIEF COMPLIANCE OFFICER5311786
RUSSELL, RACHEL WANYINGPRESIDENT4820201

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.

Company Information

BROOKFIELD SECURITIES LLC

CRD#: 327792New York, NY 10281

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