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ARTHUR DAVID STERN
ARTHUR STERN
CRD#: 2437235
IA
B
MORGAN STANLEYCRD#: 149777 91 North Front Street
Kingston, NY 12401
Kingston, NY 12401
0
Disclosures
30
Years of Experience
View By:
State Registrations
B
Alabama 7/17/2020
B
New York 6/1/2009
B
Arizona 6/1/2009
IA
New York 6/16/2021
B
Connecticut 6/1/2009
B
North Carolina 7/16/2018
B
Florida 6/1/2009
B
Ohio 4/3/2015
B
Georgia 6/1/2009
B
Pennsylvania 5/31/2018
B
Idaho 6/12/2024
B
South Carolina 6/1/2009
B
Maine 6/1/2009
B
Texas 6/1/2009
B
Massachusetts 6/1/2009
IA
Texas 5/18/2020
B
Michigan 10/21/2009
B
Vermont 6/1/2009
B
Missouri 4/23/2015
B
Virginia 9/9/2024
B
New Hampshire 7/10/2019
B
Washington 6/3/2019
B
New Jersey 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 5/18/2020
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 02/29/2008 - 06/01/2009 | KINGSTON, NY | |
IA | 01/17/2003 - 03/11/2008 | POUGHKEEPSIE, NY | |
B | 03/23/1994 - 03/11/2008 | POUGHKEEPSIE, NY |
POUGHKEEPSIE, NY
01/17/2003 - 03/11/2008
POUGHKEEPSIE, NY
03/23/1994 - 03/11/2008
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.