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Susan Iris Stern

A.G.P. / Alliance Global Partners

Boca Raton, FL

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Current Employers
A.G.P. / Alliance Global Partners

88 Post Road West 2Nd Floor, Westport, CT 06880 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2019-10-09
  • FL RA
    APPROVED
    Since 2019-10-09

Branch Locations

Fountain Square 2700 N. Military Trail, Suite 230, Boca Raton, FL 33431 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Colby Asset Management, Inc. New York NY 06/2016 02/2018
Oppenheimer & Co. Inc Palm Beach Gardens FL 02/2018 08/2019
A.G.P. / Alliance Global Partners Boca Raton FL 08/2019 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-26
S63 Uniform Securities Agent State Law Examination 1991-07-01
  • S65 Uniform Investment Adviser Law Examination
    2016-09-26
  • S63 Uniform Securities Agent State Law Examination
    1991-07-01
Other Names
  • Susan Iris Schlesinger

View on SEC IAPD

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Other Offices

SUN CAPITAL ADVISORS, L.P. · BOCA RATON, FL
AMERIPRISE FINANCIAL SERVICES, LLC · BOCA RATON, FL
HIGHTOWER ADVISORS, LLC · Boca Raton, FL
ISAM FUNDS (USA) LLC · BOCA RATON, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL

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