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Noah D. Stern

STERN CAPITAL LLC
New York, NY 10170
Some features on this profile are disabled
CRD#: 6680982
NS

Professional summary

Noah D. Stern, who also goes by Noah D. Stern, Noah Daniel Stern, is a registered financial professional currently at STERN CAPITAL LLC located in New York, New York.

Noah is registered as a RR (Registered Representative) and started their career in finance in 2019. Noah has worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Noah D. Stern | Noah Daniel Stern

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 Noah D. Stern's 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

February 22, 2022 - Present

STERN CAPITAL LLC

Office #1: 420 Lexington Avenue Suite 300, New York, NY 10170
BD
CRD#: 131226
New York, NY
Past

September 10, 2019 - November 23, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New York
(11/9/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 9/20/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 9/10/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/21/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STERN CAPITAL LLC
STERN CAPITAL LLC

CRD#: 131226 / SEC#: , 8-66433

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
420 Lexington Avenue Suite 300, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 300, New York, NY 10170
Phone number
(212) 832-1200
Established
Delaware since 03/12/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STERN, LAWRENCE MARCDIRECTOR4781769
STERN, LAWRENCE MARCCHIEF COMPLIANCE OFFICER, CEO4781769
STEWART, SCOTT ALEXANDERFINOP, PFO & POO6977422

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.

Company Information

STERN CAPITAL LLC

CRD#: 131226New York, NY 10170

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