Individual Firm
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MILFORD LEE STERN
Mickey Stern
CRD#: 501622
IA
B
HILLTOP SECURITIES INC.CRD#: 6220 15301 Ventura Blvd
Building B, Suite 410
Sherman Oaks, CA 91403
Building B, Suite 410
Sherman Oaks, CA 91403
View By:
8/9/2002
Customer Dispute
Settled
State Registrations
B
Arizona 11/18/2008
B
Nevada 5/15/2009
B
California 10/22/2008
B
New Mexico 1/6/2023
IA
California 10/22/2008
B
New York 7/12/2018
B
Colorado 8/23/2016
B
North Carolina 12/11/2013
B
Florida 10/31/2008
B
Ohio 9/24/2024
B
Idaho 9/21/2023
IA
Ohio 9/24/2024
B
Illinois 7/29/2019
B
Oregon 11/14/2024
B
Massachusetts 6/22/2012
B
Pennsylvania 2/27/2013
B
Minnesota 1/5/2024
B
Rhode Island 7/27/2023
B
Mississippi 1/5/2024
B
Texas 4/26/2022
B
Missouri 1/3/2024
B
Washington 10/21/2008
B
Montana 1/11/2024
B
Wisconsin 1/3/2024
SRO Registrations
B
B
B
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IA
Registered with this firm since 10/22/2008
B
Registered with this firm since 10/21/2008
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/09/1991 - 07/06/2009 | BEVERLY HILLS, CA | |
IA | 01/27/2004 - 04/07/2009 | BEVERLY HILLS, CA | |
B | 09/03/1980 - 04/03/2009 | BEVERLY HILLS, CA | |
B | 12/15/1976 - 10/03/1980 |
BEVERLY HILLS, CA
01/09/1991 - 07/06/2009
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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.