Korey A. Petgrave

STERN BROTHERS & CO.

New York, NY 10020

Some features on this profile are disabled

CRD#: 6674942

Professional summary

Korey A Petgrave, who also goes by Korey Petgrave, is a registered financial professional currently at STERN BROTHERS & CO. located in New York, New York.

Korey is registered as a RR (Registered Representative) and started their career in finance in 2019. Korey has worked at 3 firms and has passed the Series 63, Series 79TO, Series 3, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Korey Petgrave

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 Korey A Petgrave's CRS (Customer Relationship Summary).

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

November 8, 2023 - Present

STERN BROTHERS & CO.

Office #1: 1270 Avenue Of The Americas Suite 724, New York, NY 10020

CRD#: 16325

New York, NY

Past

June 30, 2022 - November 15, 2023

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

May 24, 2019 - June 23, 2022

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

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

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

New Jersey
(11/8/2023)

New York
(11/8/2023)

Exams

State Security Law Exam

Series 63

Date: 6/3/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 7/11/2022

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 3

Date: 8/25/2021

National Commodity Futures Examination

General Industry/Product Exam

Series 7TO

Date: 5/24/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/5/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

STERN BROTHERS & CO.

BINGHAM & COMPANY CAPITAL MARKETS, INC. | STERN BROTHERS & CO. PUBLIC FINANCE | STERN BROTHERS & CO.

CRD#: 16325 / SEC#: , 8-33724

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Mailing Address

8000 Maryland Ave. Suite 800, St. Louis, MO 63105-3911

Phone number

(314) 727-5519

Established

Missouri since 01/25/1985

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
PEGGY P FINN REVOCABLE TRUST DTD 11-7-1996 AS AMENDED	TRUST
PEGGY P. FINN 2012 TRUST DATED 12-21-2012	TRUST
CLEMENTS, DONALD SIDNEY	CHIEF TECHNOLOGY OFFICER	4440518
ESSERT, GLENN EDWARD	CHIEF COMPLIANCE OFFICER, AMLCO	1447868
FINN, PEGGY PRINCE	CHAIRMAN OF THE BOARD, DIRECTOR, CEO, SECRETARY, TRUSTEE	730640
FINN, TERRENCE MICHAEL	PRESIDENT, DIRECTOR	1102166
MIRIANI, JASON ANDREW	CFO, TREASURER	4547660
WARREN, KAREN KAY	PRINCIPAL OPERATIONS OFFICER	1316200

Disclosures

Regulatory Event

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.

Similar Advisors

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Korey A. Petgrave

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Korey A Petgrave's CRS (Customer Relationship Summary).

Certified licenses

Experience

MORGAN STANLEY & CO. LLC

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/2019

Series 79TO

Date: 7/11/2022

Series 3

Date: 8/25/2021

Series 7TO

Date: 5/24/2019

SIE

Date: 4/5/2019

FINRA

Current Firm

STERN BROTHERS & CO.

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STERN BROTHERS & CO.

TRUST BUT VERIFY

Similar Advisors