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MICHAEL PAUL STERN
CRD#: 2749126
IA
B
CAPITAL CLIENT GROUP, INC.CRD#: 6247 333 SOUTH HOPE STREET, 55TH FLOOR
LOS ANGELES, CA 90071-1447
LOS ANGELES, CA 90071-1447
0
Disclosures
28
Years of Experience
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State Registrations
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California 3/15/2005
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California 5/11/2013
SRO Registrations
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Registered with this firm since 5/11/2013
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Registered with this firm since 3/15/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/15/1997 - 02/15/2005 | JERSEY CITY, NJ | |
B | 06/21/1996 - 07/15/1997 | PHOENIX, AZ |
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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.
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