Marc Andrew Stein

Current Employers

Employment History

• 09/2006 → 02/2019
  North Ridge Securities Corp
  Melville, NY
• 02/2019 → 07/2019
  Cetera Advisor Networks
  El Segundo, CA
• 06/2019 → Present
  Lpl Financial Llc
  Purchase, NY

Previous Registrations

• 2019-01-23 → 2019-07-18
  Cetera Wealth Services, Llc
  Melville, NY
• 2017-04-26 → 2019-02-04
  North Ridge Securities Corp.
  Melville, NY
  Melville, NY

Other Businesses

1. 7/17/2019 - Gotham Corporate Solutions LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 2010 - Time Spent 0%. 2. 7/17/2019 - WC HOOVER AND CO. - Investment Related - 22 RAILROAD AVENUE, SUITE 3, SAYVILLE, NY 11782 - Non-Variable Insurance - Started 08/16/2018 - PRIMARILY HEALTH INSURANCE TO SMALL BUSINESS. SOME DENTAL AND VISION. 3. 7/17/2019 - KM CAPITAL GROUP, INC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/15/2014. 4. 7/17/2019 - KM CAPITAL GROUP, INC - Investment Related - Home Based - Non-Variable Insurance - Started 07/15/2014 - 10 Hours Per Month/5 Hours During Securities Trading - Time Spent 5% - SELLS LIFE, HEALTH, DISABILITY, FIXED ANNUITIES, AND LONG-TERM CARE. 5. 2/3/2020 - KM Capital - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/30/2020 - 10 Hours Per Month During Securities Trading. 6) 05/01/2025 - JM Rosen and Co, LLC - Investment Related - Insurance Agency - At Reported Business Location(s) - Start Date: 05/30/2025 - 5 Hrs/Mth - 0 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2021-11-01
• S65 Uniform Investment Adviser Law Examination
  2004-03-02
• S63 Uniform Securities Agent State Law Examination
  2003-04-21