Gary L. Stern

Some features on this profile are disabled

CRD#: 1061888

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.

Gary Louis Stern was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1982. Gary had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52, Series 51, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Patten Woods Condo Association Board of Directors~138 Shore Drive, Long Branch, NJ 07740~Condo Assn Homeowners~N~Board Member -no financial or checkwriting authority~05/2016~3 hrs/mo~0 trading hrs/mo THE STERN FAMILY FUND POSITION: Donor to the fund for charitable donations NATURE: Charitable Fund INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: 100 Leif Blvd, Congers NY 10920, United States DESCRIPTION: This fund is being created as a fund raising and donation vehicle to distribute contributions to various not for profit institutions. AMY AND GARY STERN FAMILY TRUST POSITION: Co-Owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2023 ADDRESS: 100 Lief Blvd, Congers NY 10920, United States DESCRIPTION: Landlord of rental property. Work with property manager.

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

February 13, 2015 - January 2, 2025

PRUCO SECURITIES, LLC.

RIA

CRD#: 7309

Past

March 14, 1984 - April 18, 1986

PHILIPS, APPEL & WALDEN, INC.

CRD#: 659

Past

November 29, 1983 - March 1, 1984

E. G. FRANCES CO., INC.

CRD#: 7797

Past

July 20, 1983 - November 1, 1983

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

October 22, 1982 - July 18, 1983

M V SECURITIES, INC. INC.

CRD#: 7201

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".

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

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

Municipal Securities Principal Examination

Current Firm

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

751 Broad Street, Newark, NJ 07102-3777

Mailing Address

751 Broad Street, Newark, NJ 07102-3777

Phone number

(973) 802-6000

Established

New Jersey since 09/22/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

387

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SOLE MEMBER
FELICIANO, DEXTER MICHAEL	PRESIDENT	5483537
FLORIO, KELLY NICOLE	ANTI-MONEY LAUNDERING OFFICER	6446272
FONTANO, ANTHONY MICHAEL	ELECTED MANAGER	6852155
HYNES, PATRICK LIAM	CHAIRMAN, ELECTED MANAGER	2748918
PATEL, PARANJ	CHIEF COMPLIANCE OFFICER	4235738
SMIT, ROBERT PHILIP	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER	2332366
THOMSEN, JORDAN KARSTEN	CHIEF LEGAL OFFICER	2821664

Disclosures

Regulatory Event	30
Arbitration	13
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report
12/22/2023	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

Gary L. Stern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

GFA SECURITIES, LLC

MSI FINANCIAL SERVICES, INC.

TOWER SQUARE SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

NEW ENGLAND SECURITIES

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

FLEET BROKERAGE SECURITIES, INC.

EMANUEL AND COMPANY

PHILIPS, APPEL & WALDEN, INC.

E. G. FRANCES CO., INC.

E. F. HUTTON & COMPANY INC

M V SECURITIES, INC. INC.

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2014

Series 63

Date: 8/19/1983

SIE

Date: 10/1/2018

Series 7

Date: 7/16/1983

Series 52

Date: 10/21/1982

Series 51

Date: 4/27/2012

Series 24

Date: 3/5/2001

Series 53

Date: 4/12/1989

Current Firm

PRUCO SECURITIES, LLC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRUCO SECURITIES, LLC.

TRUST BUT VERIFY

Similar Advisors