Unclaimed
Stuart Lempert is a financial advisor who has been working in the industry since 1992. Stuart is currently registered with Charles Schwab & Co., Inc. in New York. Stuart has previously been registered with TD Ameritrade, Inc., All-Tech Investment Group, Inc., Investors Associates, Inc., LT Lawrence & Co., Inc., Berkeley Securities Corporation, Commonwealth Associates, South Richmond Securities, Inc., and First Investors Corporation. Stuart holds the following licenses: Series 6, Series 7, Series 9, Series 10, Series 24, and SIE. Stuart provides financial planning services to individuals. Stuart has a special interest in helping clients with both investment and retirement planning.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NY
04/22/2021 - Present
Charles Schwab & CO., Inc. (New York City NY)
NY
02/08/2022 - 05/19/2024
TD AMERITRADE, INC. (NEW YORK NY)
NJ
06/25/1997 - 01/22/1998
ALL-TECH INVESTMENT GROUP, INC. (MONTVALE NJ)
NJ
07/09/1996 - 06/04/1997
INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)
NY
09/29/1994 - 02/07/1995
LT LAWRENCE & CO., INC. (NEW YORK NY)
NY
02/22/1993 - 09/02/1994
BERKELEY SECURITIES CORPORATION (NEW YORK NY)
NY
08/17/1991 - 02/02/1993
COMMONWEALTH ASSOCIATES (NEW YORK NY)
NA
01/08/1991 - 07/05/1991
SOUTH RICHMOND SECURITIES, INC.
NJ
08/14/1990 - 09/12/1990
FIRST INVESTORS CORPORATION (EDISON NJ)
BC
Issued 08/08/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/28/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/24/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/26/1990
Series 7 - General Securities Representative Examination
BC
Issued 08/13/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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