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BRAD DOUGLAS STEIN
CRD#: 2252389
IA
Investment Adviser
B
Broker Regulated by FINRA
LPL FINANCIAL LLCCRD#: 6413 45 WYNTRE BROOKE DRIVE
YORK, PA 17403
+2
Registration History
19952000200520102015202020252 FIRMS1992 - 1992 (<1 year)IALPL FINANCIAL LLC (CRD# 6413)2011 - Present (13 years)IATHE FINANCIAL ADVISORY GROUP (CRD# 127386)2003 - Present (21 years)BLPL FINANCIAL LLC (CRD# 6413)2000 - Present (24 years)BCADARET, GRANT & CO., INC. (CRD# 10641)1994 - 2000 (6 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1993 - 1994 (1 year)IACAPITAL FINANCIAL PLANNING CORP (CRD# 121751)1996 - 2003 (7 years)
License(s)

State Registrations

B
Arizona

B
Ohio

B
California

B
Oklahoma

B
Colorado

B
Oregon

B
Delaware

B
Pennsylvania

B
Florida

IA
Pennsylvania

B
Georgia

B
South Carolina

B
Hawaii

B
Tennessee

B
Kentucky

IA
Texas

B
Maryland

B
Texas

B
Massachusetts

B
Utah

B
Missouri

B
Vermont

B
Nevada

B
Virginia

B
New Jersey

B
Washington

B
New York

B
Wyoming

B
North Carolina

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
LPL FINANCIAL LLC (CRD#:6413)
45 WYNTRE BROOKE DRIVE, YORK, PA 17403
Registered with this firm since 4/20/2000

IA
LPL FINANCIAL LLC (CRD#:6413)
45 WYNTRE BROOKE DRIVE, YORK, PA 17403
DALLASTOWN, PA
Registered with this firm since 3/8/2011

IA
THE FINANCIAL ADVISORY GROUP (CRD#:127386)
45 WYNTRE BROOKE DRIVE, YORK, PA 17403
Registered with this firm since 8/8/2003

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
01/01/1996 - 05/15/2003 CAPITAL FINANCIAL PLANNING CORP (CRD#:121751) YORK, PA
B
01/25/1994 - 04/20/2000 CADARET, GRANT & CO., INC. (CRD#:10641) SYRACUSE, NY
B
01/04/1993 - 02/08/1994 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
08/21/1992 - 11/20/1992 TAMARON INVESTMENTS, INC. (CRD#:14929) ENGLEWOOD, CO
B
08/12/1992 - 10/07/1992 HIBBARD BROWN & CO., INC. (CRD#:18246)
FINRA expelled the firm on 02/22/1996
NEW YORK, NY
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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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.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

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.

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