Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jay? Claim Your ProfileJay Barry Sterns is a financial professional with over 30 years of experience in the securities industry. Jay Sterns is currently registered with Barclays Capital Inc. and has previously been registered with Goldman, Sachs & Co., Cain Brothers & Company, LLC, B. C. Ziegler and Company, and John Nuveen & Co., Incorporated. Jay Sterns holds FINRA Series 7, 24, 52, 53, 63, 79TO, and SIE licenses.
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
IL
07/19/2010 - Present
Barclays Capital Inc. (CHICAGO IL)
IL
09/17/2003 - 07/15/2010
GOLDMAN, SACHS & CO. (CHICAGO IL)
NY
06/09/1998 - 09/12/2003
CAIN BROTHERS & COMPANY, LLC (NEW YORK NY)
NA
05/01/1998 - 05/26/1998
CAIN BROTHERS & COMPANY, LLC
IL
04/28/1988 - 05/20/1998
B. C. ZIEGLER AND COMPANY (CHICAGO IL)
NA
02/24/1987 - 03/21/1988
JOHN NUVEEN & CO., INCORPORATED
BC
Issued 12/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/08/2011
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/04/1999
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1997
Series 7 - General Securities Representative Examination
BC
Issued 02/23/1987
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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