Bennett S. Stein

STEIN FINANCIAL LLC

MIRAMAR BEACH, FL 32550

Some features on this profile are disabled

CRD#: 7030237

Professional summary

Bennett S. Stein, CFP® is a registered financial advisor currently at STEIN FINANCIAL LLC located in Miramar Beach, Florida.

Bennett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Bennett has worked at 2 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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.

STAND ALONE TAX PLANNING, PREPARATION, BOOKKEEPING, BUSINESS VALUATION SERVICES; NOT INVESTMENT RELATED; 495 GRAND BOULEVARD SUITE 206, MIRAMAR BEACH FL 32550; ROUGHLY 5% OF TIME PER MONTH SPENT ON THESE ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bennett S. Stein'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®

CFP^®

Certified Financial Planner

Experience

Current

July 25, 2022 - Present

STEIN FINANCIAL LLC

Office #1: 495 Grand Boulevard Suite 206, Miramar Beach, FL 32550

RIA

CRD#: 319712

MIRAMAR BEACH, FL

Past

November 1, 2018 - March 23, 2022

ARBOR WEALTH

RIA

CRD#: 153640

MIRAMAR BEACH, FL

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(7/25/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/15/2018

Uniform Investment Adviser Law Examination

Current Firm

STEIN FINANCIAL LLC

STEIN CAPITAL MANAGEMENT LLC | STEIN FINANCIAL LLC

CRD#: 319712 / SEC#:

Florida

Registered Investment Advisory firm - (7/25/2022 Approved)

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

495 Grand Boulevard Suite 206, Miramar Beach, FL 32550

Mailing Address

Phone number

(850) 737-4752

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 8,300,000

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

Stephen Johnson

GREAT BAY WEALTH MANAGEMENT

IAR

Roswell, GA

Brandon Hendricks

MARINER WEALTH

IAR

Commercial Point, OH

Aaron Ungerer

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Frontenac, MO

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Bennett S. Stein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Bennett S. Stein's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEIN FINANCIAL LLC

ARBOR WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 10/15/2018

Current Firm

STEIN FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STEIN FINANCIAL LLC

TRUST BUT VERIFY

Similar Advisors