Zachary Stern
Professional summary
Zachary Stern, who also goes by Zack Stern, is a registered financial professional currently at VISION FINANCIAL MARKETS LLC located in Stamford, Connecticut.
Zachary is registered as a RR (Registered Representative) and started their career in finance in 2023. Zachary has worked at 2 firms and has passed the Series 3, Series 7TO, SIE and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Zachary Stern's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2024 - Present
VISION FINANCIAL MARKETS LLC
Office #1: 1010 Washington Blvd, Suite 300, Stamford, CT 06901November 14, 2023 - January 5, 2024
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/14/2023
General Securities Representative ExaminationFINRA
Current Firm
VISION FINANCIAL MARKETS LLC
CRD#: 142271 / SEC#: , 8-67447
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROTHMAN, HOWARD MARTIN | PRESIDENT, CFO, CEO, FINOP, PRINCIPAL FINANCIAL OFFICER | 1098190 |
| ROTHMAN, MICHAEL DAVID | GENERAL MANAGER | 6682487 |
| FELAG, JOHN CHRISTOPHER | CHIEF RISK OFFICER | 1874602 |
| HERRITT, JOSHUA DAVID | VP ADMINISTRATION, MUNICIPAL BOND PRINCIPAL, AND ROSFP | 6205459 |
| KARAFA, JOHN MICHAEL | CHIEF COMPLIANCE OFFICER, AMLCO, AND ROSFP | 2927594 |
| MARTINEZ, ANA | VICE PRESIDENT OPERATIONS, PRINCIPAL OPERATIONS OFFICER | 5288054 |
Disclosures
| Regulatory Event | 32 |
Red Flags
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