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Stephen Jerome Stern

Stifel, Nicolaus & Company, Incorporated

Garden City, NY

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Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-10-01
NY RA APPROVED 2021-05-26
  • TX RA
    APPROVED_RES
    Since 2025-10-01
  • NY RA
    APPROVED
    Since 2021-05-26

Branch Locations

1225 Franklin Avenue Suite 150, Garden City, NY 11530 • 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
Stifel, Nicolaus & Company, Incorporated Hewlett NY 07/2007 Present
Previous Registrations
  • 2006-09-29 → 2007-07-10
    Ryan Beck & Co.
    Hewlett, NY
Other Businesses

10 Pincover Industrial; 563 Adams Ave West Hempstead NY 11552; Mail order industrial blades; owner; overseeing; affiliation started 02/29/2016; 25 hours per month; not during securities trading hours; not investment related.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-21
S63 Uniform Securities Agent State Law Examination 1984-07-10
  • S65 Uniform Investment Adviser Law Examination
    1999-12-21
  • S63 Uniform Securities Agent State Law Examination
    1984-07-10
Other Names
  • Stephen J Stern

View on SEC IAPD

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Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
ARKADIOS WEALTH ADVISORS · Garden City, NY
CETERA INVESTMENT ADVISERS LLC · Garden City, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · GARDEN CITY, NY
CETERA INVESTMENT ADVISERS LLC · GARDEN CITY, NY
BRIXTON CAPITAL WEALTH ADVISORS, LLC · GARDEN CITY, NY
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · Garden City, NY
OSAIC WEALTH, INC. · GARDEN CITY, NY

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