Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Jerome Stern is a registered representative with Stifel, Nicolaus & Company, Inc. and has been in the securities industry since March 27, 1985. Stephen Jerome Stern has been registered with Stifel, Nicolaus & Company, Inc. since May 26, 2021. Prior to joining Stifel, Nicolaus & Company, Inc., Stephen Jerome Stern was affiliated with RYAN BECK & CO. from September 22, 2006 to July 10, 2007, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED from March 8, 2006 to September 25, 2006, ADVEST, INC. from June 30, 2000 to March 8, 2006, FIRST ALBANY CORPORATION from July 1, 1994 to July 21, 2000, LIBERTY SECURITIES CORPORATION from May 27, 1993 to July 7, 1994, INVEST FINANCIAL CORPORATION from August 13, 1991 to May 28, 1993, WOOD-POMERANTZ SECURITIES, INC from July 27, 1989 to October 11, 1990, AUSTIN SECURITIES, INC. from June 2, 1989 to July 28, 1989, VANTAGE FINANCIAL SERVICES, INC. from March 22, 1989 to May 4, 1989, INVESTORS CENTER, INC. from June 6, 1988 to March 10, 1989, PHILIPS, APPEL & WALDEN, INC. from June 30, 1986 to June 1, 1988, S. D. COHN & CO. from January 24, 1985 to June 30, 1986, MILTON S. TRAUBNER CO.INC. from December 18, 1984 to January 14, 1985, and S. D. COHN & CO. from March 29, 1984 to December 10, 1984.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
05/26/2021 - Present
Stifel, Nicolaus & Company, Inc. (GARDEN CITY NY)
NY
09/22/2006 - 07/10/2007
RYAN BECK & CO. (HEWLETT NY)
NY
03/08/2006 - 09/25/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GARDEN CITY NY)
CT
06/30/2000 - 03/08/2006
ADVEST, INC. (HARTFORD CT)
NY
07/01/1994 - 07/21/2000
FIRST ALBANY CORPORATION (NEW YORK NY)
NY
05/27/1993 - 07/07/1994
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
WI
08/13/1991 - 05/28/1993
INVEST FINANCIAL CORPORATION (APPLETON WI)
NA
07/27/1989 - 10/11/1990
WOOD-POMERANTZ SECURITIES, INC
NA
06/02/1989 - 07/28/1989
AUSTIN SECURITIES, INC.
NA
03/22/1989 - 05/04/1989
VANTAGE FINANCIAL SERVICES, INC.
NA
06/06/1988 - 03/10/1989
INVESTORS CENTER, INC.
NA
06/30/1986 - 06/01/1988
PHILIPS, APPEL & WALDEN, INC.
NA
01/24/1985 - 06/30/1986
S. D. COHN & CO.
NA
12/18/1984 - 01/14/1985
MILTON S. TRAUBNER CO.INC.
NA
03/29/1984 - 12/10/1984
S. D. COHN & CO.
IA
Issued 12/21/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/01/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/09/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Stephen Stern is the right advisor for you? Invested Better is here to help.
