Debra SteinCRD Number: 1375270
Current Firm: H. Beck, Inc.
Debra Stein (CRD# 1375270) is an Investment Advisor Representative working at H. Beck, Inc. in Lake Mills, WI and has over 32 years of experience in the finance industry.
Lpl Financial LLC
Sii Investments, Inc.
|H.beck Inc.||Rockville, MD||Sep 2009 - Current||8|
|Linsco Private Ledger||Lake Mills, WI||Dec 2004 - Sep 2009||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Aug 1985|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Judgments / Liens
Total Assets Under Management1,330MILLIONS
Total Number of Accounts6,100ACCOUNTS
Average Account Value$218,030
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV