Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Stein is a seasoned financial professional with over two decades of experience in the industry. Eric's expertise spans a range of financial services, including investment banking, municipal securities, and trading. Eric holds multiple securities licenses, including Series 7, 24, 52, 53, 55, and 57, demonstrating a comprehensive understanding of the financial markets. Currently, Eric is registered with Smbc Nikko Securities America, Inc. in New York. Previously, Eric has held positions with J.P. Morgan Securities LLC, Jefferies LLC, Montecito Advisors, Inc., H.C. Wainwright & Co., Inc., Quintin Group, LLC, Charles Schwab & Co., Inc., and Bear, Stearns & Co. Inc. This extensive experience provides Eric with a deep understanding of the financial services industry and a commitment to providing clients with comprehensive, personalized financial solutions.
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.
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.
1
2
NJ
08/18/2021 - Present
Smbc Nikko Securities America, Inc. (Jersey City NJ)
NY
02/15/2018 - 09/23/2020
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
07/10/2015 - 01/08/2018
JEFFERIES LLC (NEW YORK NY)
NY
10/14/2008 - 07/08/2015
MONTECITO ADVISORS, INC. (NEW YORK NY)
NY
06/02/2006 - 10/03/2008
H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)
NY
05/23/2005 - 05/31/2006
QUINTIN GROUP, LLC (NEW YORK NY)
TX
07/16/2003 - 11/09/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
01/25/1999 - 06/06/2003
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 04/20/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2015
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/23/2012
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/23/2010
Series 14 - Compliance Officer Examination
BC
Issued 01/03/2010
Series 24 - General Securities Principal Examination
BC
Issued 02/20/2009
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/2009
Series 25 - NYSE Trading Assistant Examination
BC
Issued 04/28/2003
Series 3 - National Commodity Futures Examination
BC
Issued 04/07/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/12/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
Not sure Eric Stein is the right advisor for you? Invested Better is here to help.
