Milton (nmn) Stern

Some features on this profile are disabled

CRD#: 1021762

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Milton (nmn) Stern, who also goes by Milton Stern, was a registered financial professional .

Milton (nmn) is a previously registered financial professional and started their career in finance in 1981. Milton (nmn) had worked at 7 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Milton Stern

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 10, 2006 - August 23, 2016

BRIDGEWATER ADVISORS INC.

RIA

CRD#: 109826

NEW YORK, NY

Past

July 12, 1993 - November 13, 1995

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

January 31, 1990 - April 22, 1993

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

August 3, 1989 - August 24, 1990

BROOKHILL SECURITIES CORP.

CRD#: 10257

Past

January 8, 1985 - September 8, 1987

COMPASS CAPITAL CORPORATION

CRD#: 14379

Past

December 9, 1982 - January 22, 1985

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

December 11, 1981 - June 2, 1982

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

BRIDGEWATER ADVISORS INC.

CRD#: 109826 / SEC#: 801-48380

RIA

Registered Investment Advisory firm - (1/1/1995 Approved)

California

Registered Investment Advisory firm - (5/15/2001 Cancelled)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/16/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/21/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/1985

General Securities Principal Examination

Current Firm

BRIDGEWATER ADVISORS INC.

CRD#: 109826 / SEC#: 801-48380

RIA

Registered Investment Advisory firm - (1/1/1995 Approved)

California

Registered Investment Advisory firm - (5/15/2001 Cancelled)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

600 Fifth Avenue 26th Floor, New York, NY, 10020

Mailing Address

Phone number

(212) 221-5300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (19 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BRIDGEWATER ADVISORS BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	2,619
AUM (Assets Under Management)	$ 2,136,285,351

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/19/2025	Cover Page	Report
09/25/2024	Cover Page	Report
01/02/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Milton (nmn) Stern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GUARDIAN INVESTOR SERVICES LLC

MML INVESTORS SERVICES, LLC

BROOKHILL SECURITIES CORP.

COMPASS CAPITAL CORPORATION

UBS FINANCIAL SERVICES INC.

L. F. ROTHSCHILD & CO. INCORPORATED

Primary Firm SEC Registration

BRIDGEWATER ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/1990

Series 7

Date: 11/21/1981

Series 24

Date: 1/31/1985

Current Firm

BRIDGEWATER ADVISORS INC.

Contact information

SEC notice filing (19 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRIDGEWATER ADVISORS INC.

TRUST BUT VERIFY

Similar Advisors