Unclaimed Profile

Robert Neil Stein

ASTOR INVESTMENT MANAGEMENT LLC·CHICAGO, Illinois

Series 3, Series 7, Series 63, Series 6524 years registeredASTOR INVESTMENT MANAGEMENT LLC

111 S WACKER DRIVE, CHICAGO, IL 60606CRD# 2170171Firm CRD# 169679

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Robert Neil Stein · CHICAGO, IL

Registration

CRD #2170171 · ASTOR INVESTMENT MANAGEMENT LLC · 24 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: ASTOR INVESTMENT MANAGEMENT LLC

LAKEWOOD INVESTMENT MANAGEMENT LLC

Mar 2014 – Mar 2015

CHICAGO, IL

NATIONAL ASSET MANAGEMENT, INC.

Dec 2013 – Apr 2014

CHICAGO, IL

ASTOR INVESTMENT MANAGEMENT LLC

Nov 2013 – Nov 2023

CHICAGO, IL

ASTOR PARTNERS, LLC

Feb 2006 – Oct 2006

CHICAGO, IL

SAF CAPITAL LLC

Apr 2003 – Dec 2003

CHICAGO, IL

ASTOR ASSET MANAGEMENT LLC

Nov 2001 – Aug 2013

CHICAGO, IL

Registrations & Exams

FINRA examinations passed

Series 3

Series 7

Series 63

Series 65

Registration record

First registered · November 19, 2001

Years registered · 24

Disclosure History

2023Judgment / Lien

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

ASTOR INVESTMENT MANAGEMENT LLC

CRD 169679 · SEC 801-78794

AUM

$214M

Regulatory assets under management

Employees

458 client accounts

Services offered by ASTOR INVESTMENT MANAGEMENT LLC

Per Form ADV

Portfolio management (individuals)

Portfolio management (pooled investments)

Selection of other advisers

Client types served by the firm

Per Form ADV

Individuals

Institutional Investors

View all advisors at ASTOR INVESTMENT MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Robert Neil Stein offer?

Robert Neil Stein specializes in Investment Management, Wealth Management, Fee-Only Advisory.

What are Robert Neil Stein's credentials?

Robert Neil Stein is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Robert Neil Stein located?

Robert Neil Stein is based in CHICAGO, Illinois, last registered with ASTOR INVESTMENT MANAGEMENT LLC.

How does Robert Neil Stein charge for services?

Robert Neil Stein's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is ASTOR INVESTMENT MANAGEMENT LLC?

ASTOR INVESTMENT MANAGEMENT LLC has approximately 6 employees and manages $214M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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