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Alexander Humberto Stern

PHX Financial, Inc.

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About Alexander Humberto Stern

Alexander Humberto Stern is a financial advisor currently registered with PHX Financial, Inc.. Alexander has been in the financial services industry since 1995. Alexander has passed the Series 7, Series 63, and SIE exams. Alexander is registered with the following states: California, Delaware, Florida, Illinois, Iowa, Louisiana, Massachusetts, Minnesota, New Jersey, New York, North Dakota, Ohio, Oklahoma, Pennsylvania, South Carolina, Texas, Virginia, and Wisconsin.

Firm Information

Alexander Stern is currently registered with PHX Financial, Inc.. PHX Financial, Inc. is a Corporation formed in December 2006. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 3 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

65

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Alexander Stern’s Registration & Firm History

NY

03/23/2015 - Present

PHX Financial, Inc. (Hauppauge NY)

NY

03/13/2015 - 03/20/2015

TRYCO SECURITIES, INC. (Melville NY)

NY

03/05/2013 - 03/17/2015

BROOKVILLE CAPITAL PARTNERS (Melville NY)

NY

03/29/2012 - 03/06/2013

BLACKBOOK CAPITAL LLC (MELVILLE, NY)

NY

02/20/2012 - 03/28/2012

WESTOR CAPITAL GROUP, INC. (MELVILLE NY)

NY

07/03/2008 - 12/13/2011

FIRST MIDWEST SECURITIES, INC. (MELVILLE NY)

NY

06/13/2005 - 06/30/2008

BASIC INVESTORS INC. (MELVILLE NY)

NY

09/09/2004 - 05/19/2005

MILESTONE GROUP MANAGEMENT LLC (LAKE SUCCESS NY)

NY

05/23/2003 - 08/27/2004

DELTA ASSET MANAGEMENT COMPANY, LLC (MINEOLA NY)

NY

10/02/2001 - 05/15/2003

MURPHY & DURIEU (NEW YORK NY)

NY

02/13/2001 - 10/10/2001

WEATHERLY SECURITIES CORPORATION (NEW YORK NY)

NY

07/13/1998 - 02/09/2001

TASIN & COMPANY, INC. (HAUPPAUGE NY)

NY

03/20/1998 - 07/08/1998

MORGAN GRANT CAPITAL CORP. (GARDEN CITY NY)

NY

01/14/1997 - 03/31/1998

ROYCE INVESTMENT GROUP, INC. (WOODBURY NY)

NA

02/23/1995 - 11/22/1996

KENSINGTON WELLS INCORPORATED

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Licenses & Designations

BC

Issued 03/28/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/22/1995

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 4 public disclosures for Alexander Humberto Stern. Review regulatory record here.
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