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Joseph C. Stein

Solomon Partners Securities, LLC

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About Joseph C. Stein

Joseph C. Stein is a registered representative with Solomon Partners Securities, LLC. Joseph has been in the securities industry since April 2, 1993. Joseph is licensed in Connecticut and New York. Joseph holds the following licenses: Series 7, Series 24, Series 63, Series 79TO, and SIE. Joseph was previously registered with UBS Warburg LLC and CITICORP SECURITIES, INC.

Firm Information

Joseph Stein is currently registered with Solomon Partners Securities, LLC. Solomon Partners Securities, LLC is a Limited Liability Company formed in September 2006. The firm is registered with the Securities and Exchange Commission and holds state registrations in 33 states, including Arizona, California, Colorado, Connecticut, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Jersey, New York, Ohio, Oregon, Pennsylvania, South Carolina, South Dakota, Tennessee, Texas, Utah, Virginia, Washington, and Wyoming.

Not reported

Assets Under Management

Not reported

Total Clients

60

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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Joseph Stein’s Registration & Firm History

NY

07/03/2001 - Present

Solomon Partners Securities, LLC (NEW YORK NY)

NY

11/17/1997 - 02/20/2001

UBS WARBURG LLC (NEW YORK NY)

NY

09/08/1992 - 11/03/1997

CITICORP SECURITIES, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/26/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/24/2023

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 09/03/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Joseph C. Stein.
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