Steven Feldstein has been Chief Compliance Officer and Managing Member of Steven Feldstein & Associates since August 1974, is a control person of the firm and directly owns 75% or more of it.
Steven Feldstein & Associates is a firm with $160M under management, 526 clients and 2 advisers in one office, as of its February 2026 filing.
- – present · 24 yearsBasking Ridge, NJ · Adviser representative · Firm CRD 109022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 8 November 2001 |
| Series 4 | Registered Options Principal Examination | 31 May 1994 |
| Series 24 | General Securities Principal Examination | 31 May 1991 |
| Series 7 | General Securities Representative Examination | 7 February 1991 |
| Series 22 | Direct Participation Programs Representative Examination | 3 August 1988 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 February 1988 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 6 September 1985 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 1402510
- Firm
- Steven Feldstein & Associates · CRD 109022
- Role
- Chief Compliance Officer and Managing Member
- Office
- Basking Ridge, NJ
- Registration
- Investment adviser and broker registrations
- In the industry since
- October 1985
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Steven Feldstein work?
Steven Feldstein has been Chief Compliance Officer and Managing Member of Steven Feldstein & Associates since August 1974, and is a control person of the firm.
Is Steven Feldstein a financial advisor?
Yes. Steven Feldstein has a current investment-adviser registration, through Steven Feldstein & Associates since May 2002.
How many years of experience does Steven Feldstein have?
Steven Feldstein has 41 years in the financial industry, since October 1985, across 1 adviser firm.
What exams has Steven Feldstein passed?
Steven Feldstein has passed 10 licensing exams: the Series 6, Series 63, Series 22, Series 7, Series 24, Series 4, Series 53, Series 14, Series 99TO and Series 52TO. The earliest, the Series 6, was passed in September 1985. FINRA credited Steven Feldstein with the SIE, which began in October 2018.
Where is Steven Feldstein based?
Steven Feldstein’s registered office is in Basking Ridge, NJ.
Is Steven Feldstein registered with FINRA?
Yes. Steven Feldstein has a current broker registration, under CRD 1402510.
Source: FINRA BrokerCheck
How can I verify Steven Feldstein’s record?
Search CRD 1402510 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Steven Feldstein’s full registration record.