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MARC ANDREW STEIN
CRD#: 4640509
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 3010 WESTCHESTER AVE STE 200
PURCHASE, NY 10577
Registration History
2004200620082010201220142016201820202022202420262 FIRMS2019 - 2019 (<1 year)2 FIRMS2019 - Present (5 years)BNORTH RIDGE SECURITIES CORP. (CRD# 27098)2006 - 2019 (12 years)BPRUCO SECURITIES, LLC. (CRD# 5685)2004 - 2006 (2 years)BAMERICAN CAPITAL PARTNERS, LLC (CRD# 119249)2003 - 2003 (<1 year)IANORTH RIDGE SECURITIES CORP. (CRD# 27098)2017 - 2019 (1 year)
Disclosure(s)
View By:
5/7/2012
Customer Dispute
Settled
License(s)

State Registrations

B
California 7/17/2019

IA
New York 11/1/2021

B
Connecticut 7/17/2019

B
North Carolina 7/17/2019

B
Florida 7/17/2019

B
Pennsylvania 7/17/2019

B
Hawaii 6/10/2024

B
South Carolina 10/22/2020

B
Maine 1/25/2021

B
Tennessee 7/25/2019

B
New Hampshire 7/17/2019

B
Texas 7/17/2019

B
New Jersey 7/17/2019

IA
Texas 7/17/2019

B
New York 7/17/2019

B
Virginia 1/9/2025

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
3010 WESTCHESTER AVE STE 200, PURCHASE, NY 10577
Registered with this firm since 7/17/2019

B
LPL FINANCIAL LLC (CRD#:6413)
3010 WESTCHESTER AVE STE 200, PURCHASE, NY 10577
Registered with this firm since 7/17/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/23/2019 - 07/18/2019 CETERA ADVISOR NETWORKS LLC (CRD#:13572) MELVILLE, NY
B
01/22/2019 - 07/18/2019 CETERA ADVISOR NETWORKS LLC (CRD#:13572) MELVILLE, NY
IA
04/26/2017 - 02/04/2019 NORTH RIDGE SECURITIES CORP. (CRD#:27098) MELVILLE, NY
B
09/25/2006 - 02/04/2019 NORTH RIDGE SECURITIES CORP. (CRD#:27098) MELVILLE, NY
B
02/23/2004 - 09/26/2006 PRUCO SECURITIES, LLC. (CRD#:5685) MELVILLE, NY
B
04/09/2003 - 10/07/2003 AMERICAN CAPITAL PARTNERS, LLC (CRD#:119249) HAUPPAUGE, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.