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SS

Stanley B. Stern

BRADLEY WOODS & CO. LTD.
New York, NY 10022
Some features on this profile are disabled
CRD#: 721616
SS

Professional summary

Stanley B Stern is a registered financial professional currently at BRADLEY WOODS & CO. LTD. located in New York, New York.

Stanley is registered as a RR (Registered Representative) and started their career in finance in 1980. Stanley has worked at 6 firms and has passed the Series 63, Series 22TO, Series 79TO, SIE, Series 7, Series 12 and Series 24 exams.

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) - BD

Click below to view Stanley B Stern'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

March 6, 2015 - Present

BRADLEY WOODS & CO. LTD.

Office #1: 845 Third Ave, Suite 1703, New York, NY 10022
BD
CRD#: 13660
New York, NY
Past

May 13, 2004 - February 26, 2013

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

February 20, 2002 - March 31, 2004

CANACCORD GENUITY SECURITIES LLC

BD
CRD#: 24790
NEW YORK, NY
Past

January 17, 2001 - July 27, 2001

TOWER HILL SECURITIES, INC.

BD
CRD#: 29004
NEW YORK, NY
Past

April 3, 1988 - April 18, 1995

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
Past

February 18, 1982 - February 11, 2000

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

December 22, 1980 - January 4, 1982

SALOMON BROTHERS INC.

BD
CRD#: 740

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
(3/6/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 1/2/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1980
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 12
Date: 6/27/2007
NYSE Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/14/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BW
BRADLEY WOODS & CO. LTD.
BRADLEY WOODS & CO. LTD. | BRADLEY, WOODS & CO.

CRD#: 13660 / SEC#: , 8-28862

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

Main Address
845 Third Ave, Suite 1703, New York, NY 10022
Mailing Address
845 Third Ave, Suite 1703, New York, NY 10022
Phone number
(212) 826-9191
Established
Delaware since 11/01/2004
Firm type
Corporation
Fiscal year end
February
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

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
RIPP, DANIEL SCEO, CFO1398164
SHEA, PATRICK OFARRELLCHIEF COMPLIANCE OFFICER838154
YEE, DEREK BRIANCOO6911274

Disclosures

Regulatory Event1

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

BRADLEY WOODS & CO. LTD.

CRD#: 13660New York, NY 10022

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