Ben “Barry” Stein

Assistant Compliance Officer

 

Barry is an assistant compliance officer that helps handles daily business transitions and compliance reporting. His military and accounting background assist him well in is this compliance role. Barry started in the securities industry back in 1984 and ran his own broker dealer in the mid 1990’s. He has a wealth of knowledge that brings to the team having been licensed with series 3,4,8,27,& 55. Currently Barry holds the series 7, 24 & 63. Barry joined the firm in February of 2020.

In Business Since 2003

Our Rep’s average tenure is over 10 years with our firm.

Over 95 Combined Licensed Years of Experience

Our back office has navigated through the up and down cycles and ever changing regulation changes.

Over 120m Assets Under Management

We have seen considerable growth in the past few years!

Check the background of this financial professional on FINRA's BrokerCheck
Check the background of this financial professional on FINRA's BrokerCheck