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Detailed Report
DOUGLAS WAYNE STEIN
DOUG STEIN
CRD#: 1811767
IA
Investment Adviser
B
Broker
NEWEDGE ADVISORSCRD#: 171351 120 N Santa Fe
Salina, KS 67401
NEWEDGE SECURITIES, LLCCRD#: 10674 120 N SANTA FE AVE
SALINA, KS 67401
Registration History
199019952000200520102015202020252 FIRMS2008 - 2021 (13 years)2 FIRMS2021 - Present (4 years)BA. G. EDWARDS & SONS, INC. (CRD# 4)1996 - 2008 (11 years)BEDWARD D. JONES & CO., L.P. (CRD# 250)1988 - 1996 (8 years)IAA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 2008 (10 years)
License(s)

State Registrations

B
Colorado 2/26/2021
IA
Nebraska 11/13/2024
B
Kansas 2/26/2021
B
Ohio 2/26/2021
IA
Kansas 2/26/2021
B
Texas 2/26/2021
IA
Louisiana 11/19/2024
IA
Texas 11/13/2024

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
NEWEDGE ADVISORS (CRD#:171351)
120 N Santa Fe, Salina, KS 67401
Registered with this firm since 2/26/2021
B
NEWEDGE SECURITIES, LLC (CRD#:10674)
120 N SANTA FE AVE, SALINA, KS 67401
Registered with this firm since 2/26/2021
Previous Registration(s)
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IA
 01/01/2008 - 03/25/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SALINA, KS
B
 01/01/2008 - 03/25/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SALINA, KS
B
 03/11/1996 - 01/03/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SALINA, KS
IA
 12/16/1997 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) SALINA, KS
B
 03/22/1988 - 03/11/1996 EDWARD D. JONES & CO., L.P. (CRD#:250) ST. LOUIS, MO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.