Stephen Lande
Professional Summary
Stephen Lande, who also goes by Stephen B Lande, Stephen Bronfman Lande, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen B Lande, Stephen Bronfman Lande
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
14 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BROOKFIELD SECURITIES LLC
Contact Information
Main Address
225 Liberty Street 8th Floor, New York, NY 10281Mailing Address
225 Liberty Street 8th Floor, New York, NY 10281Phone Number
(212) 978-1737Established
Delaware since 07/13/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(5/22/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79 — Investment Banking Registered Representative Examination
Passed Aug 2012About the Series 79 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Stephen Lande's CRS (Customer Relationship Summary).
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