Avi Stein
Professional summary
Avi Stein, who also goes by Avi D Stein, Avi L Stein, is a registered financial professional currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in New York, New York and STIFEL INDEPENDENT ADVISORS, LLC located in New York, New York.
Avi is registered as a RR (Registered Representative) and started their career in finance in 2023. Avi has worked at 3 firms and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Avi Stein's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 16, 2023 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 1095 Avenue Of The Americas 3rd & 4th Floors, New York, NY 10036October 17, 2023 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 1095 Avenue Of The Americas 3 Bryant Park - 3rd And 4th Floor, New York, NY 10166October 17, 2023 - Present
KEEFE, BRUYETTE & WOODS, INC.
Office #1: 787 7th Avenue, New York, NY 10019State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 10/16/2023
Operations Professional ExaminationFINRA
Current Firm
KEEFE, BRUYETTE & WOODS, INC.
CRD#: 481 / SEC#: , 8-10888
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KBW, LLC | LIMITED LIABILITTY CORPORATION | |
| ANDERSON, SCOTT RANDALL | DIRECTOR | 2154345 |
| BERRY, JOSEPH SCOTT | DIRECTOR | 2868513 |
| DAVIS, ERICKSON P | DIRECTOR | 4974063 |
| FISHER, MARK | GENERAL COUNSEL | 4970942 |
| GRANT, ROBERT J | DIRECTOR | 4861012 |
| JOHNSTONE, MARY | CHIEF COMPLIANCE OFFICER | 1170408 |
| KELLEY, MATTHEW | DIRECTOR | 5330646 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| MICHAUD, THOMAS BEAULIEU | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND PRESIDENT | 1672278 |
| SMITH, RICHARD WILLIAM | PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1333488 |
| WIRTH, PETER JOHN | DIRECTOR | 1623159 |
Disclosures
| Regulatory Event | 17 |
| Bond | 1 |
Red Flags
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