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Stephan A Stein

Joseph Gunnar & Co. LLC

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About Stephan A Stein

Stephan Stein is a financial professional with over 20 years of experience in the securities industry. Stephan holds the Series 7, 24, 63, 79TO and 99TO licenses, demonstrating a broad knowledge of the financial markets. Stephan is currently a registered representative with Joseph Gunnar & Co. LLC, a well-established firm that specializes in providing investment advisory services to individuals and investment companies. Stephan works out of the firm's office located at 1000 RXR Plaza in Uniondale, New York.

Firm Information

Stephan Stein is currently registered with Joseph Gunnar & Co. LLC. Joseph Gunnar & Co. LLC is a Limited Liability Company registered with the SEC and in 53 states. The firm, founded in 1997, is headquartered in Uniondale, New York and provides portfolio management services for individuals and selects other advisers. They are registered to offer wrap fee programs and have reported 5 regulatory events and 12 arbitration disclosures.
Joseph Gunnar & Co. LLC

1000 RXR PLAZA

UNIONDALE, NY 11556

$31.02M

Assets Under Management

Not reported

Total Clients

36

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Share in fees paid to tpmms

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Stephan Stein’s Registration & Firm History

NY

05/19/2003 - Present

Joseph Gunnar & Co. LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 03/03/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/25/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional 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 02/18/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 3 public disclosures for Stephan A Stein. Review regulatory record here.
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