Dustin W. Stern
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dustin Willis Stern, who also goes by Dustin Stern, was a registered financial professional .
Dustin is a previously registered financial professional and started their career in finance in 2015. Dustin had worked at 1 firm and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2015 - April 21, 2016
MACGREGOR GLOBAL INVESTMENTS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MACGREGOR GLOBAL INVESTMENTS, LLC
CRD#: 142978 / SEC#: , 8-67512
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACGREGOR ASSOCIATES, LLC | MEMBER | |
| MILLINGTON, CHARLES GLENN | FINANCIAL AND OPERATIONS PRINCIPAL | 1032017 |
| PARSONS, JOHN FC | CHIEF EXEC. OFFICER/CHIEF COMPLIANCE OFFICER |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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