Steven I. Stein
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.
Steven Isaac Stein was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2016. Steven had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2022 - December 31, 2022
CAPITAL LABORATORIES INC.
January 4, 2018 - December 31, 2021
CAPITAL LABORATORIES INC.
December 1, 2016 - December 31, 2017
CAPITAL LABORATORIES INC.
State Registrations and Notice Filings
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Current Firm
CAPITAL LABORATORIES INC.
CRD#: 282934 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,300,000 |
Red Flags
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