Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Sternfield is a financial advisor based in San Francisco, California. John has been working in the financial industry since 1988 and is currently registered with BA Securities, LLC. John has a broad range of experience and holds a variety of licenses and certifications, including Series 7, 24, 52, 63, 65, 79TO and SIE. John has experience working with a variety of clients and firms including Headwaters BD, LLC, Petsky Prunier Securities, LLC, North Point Advisors, LLC, Cantor Fitzgerald & Co., U.S. Bancorp Piper Jaffray Inc. and Montgomery Securities.
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.
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2
CA
02/23/2018 - Present
BA Securities, LLC (SAN FRANCISCO CA)
CO
06/23/2017 - 04/10/2018
HEADWATERS BD, LLC (DENVER CO)
CA
01/25/2017 - 06/08/2017
PETSKY PRUNIER SECURITIES, LLC (PALO ALTO CA)
CA
03/08/2012 - 01/19/2017
PETSKY PRUNIER SECURITIES, LLC (PALO ALTO CA)
CA
01/25/2010 - 03/12/2012
NORTH POINT ADVISORS, LLC (SAN FRANCISCO CA)
CA
09/08/2006 - 04/17/2009
CANTOR FITZGERALD & CO. (REDWOOD CITY CA)
MN
01/16/1996 - 07/03/2002
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
CA
11/13/1992 - 09/21/1995
MONTGOMERY SECURITIES (SAN FRANCISCO CA)
NY
01/18/1991 - 12/22/1992
FEELEY & WILLCOX SECURITIES CORP. (NEW YORK NY)
NJ
09/06/1985 - 10/16/1991
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NA
04/11/1979 - 09/25/1981
L. F. ROTHSCHILD, UNTERBERG, TOWBIN
BC
Issued 10/13/2006
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/15/2012
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 09/07/2006
Series 7 - General Securities Representative Examination
BC
Issued 06/12/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 07/21/1979
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
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