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CS

Craig L. Sternschein

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CRD#: 6860119
CS

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.

Craig Louis Sternschein was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 2017. Craig had worked at 1 firm and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 4, 2017 - October 22, 2018

POTEN CAPITAL SERVICES, LLC

BD
CRD#: 141367
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 11/30/2017
Operations Professional Examination

Current Firm

PC
POTEN CAPITAL SERVICES, LLC
POTEN CAPITAL SERVICES, LLC

CRD#: 141367 / SEC#: , 8-67380

BD
Terminated by SEC on 12/21/2018
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/20/2002
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
POTEN & PARTNERS GROUP, INC. EMPLOYEE STOCK OWNERSHIP TRUSTEMPLOYEE OWNERSHIP TRUST
EVTIMOV, STANISLAV IVANOVFINOP/CFO5439556
KAPUSCINSKI, WALTER ANTHONYPRESIDENT AND CHIEF COMPLIANCE OFFICER848045

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

POTEN CAPITAL SERVICES, LLC

CRD#: 141367

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