AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
AS

Amy G. Stern

LYNCH & ASSOCIATES
Boston, MA 02116
Some features on this profile are disabled
CRD#: 1072154
AS

Professional summary

Amy Gail Caplan Stern, who also goes by Amy Gail Caplan, Amy Caplan Stern, Gail Stern, is a registered financial professional currently at LYNCH & ASSOCIATES located in Boston, Massachusetts.

Amy is registered as a RR (Registered Representative) and started their career in finance in 1983. Amy has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Gail Caplan | Amy Caplan Stern | Gail 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) - BD

Click below to view Amy Gail Caplan Stern's CRS (Customer Relationship Summary).

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

Current

December 11, 2006 - Present

LYNCH & ASSOCIATES

Office #1: 535 Boylston St Suite T2, Boston, MA 02116
RIA
BD
CRD#: 140762
Boston, MA
Past

July 8, 1998 - December 7, 2006

TBG FINANCIAL

BD
CRD#: 26984
LOS ANGELES, CA
Past

February 26, 1997 - December 30, 1997

WESTPORT FINANCIAL SERVICES, L.L.C.

BD
CRD#: 38449
JACKSONVILLE, FL
Past

June 5, 1995 - February 24, 1997

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
BOSTON, MA
Past

November 29, 1993 - June 8, 1995

CLARK-BARDES SECURITIES, INC.

BD
CRD#: 29094
DALLAS, TX
Past

November 3, 1987 - June 28, 1993

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
Past

October 30, 1987 - November 4, 1987

LEGG MASON MASTEN INC.

BD
CRD#: 2
Past

October 19, 1983 - June 28, 1993

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arkansas
(12/7/2017)
RR
California
(12/7/2017)
RR
Connecticut
(12/11/2006)
RR
Delaware
(12/11/2006)
RR
Georgia
(12/11/2006)
RR
Maine
(7/23/2007)
RR
Maryland
(12/11/2006)
RR
South Carolina
(12/11/2006)

Exams

State Security Law Exam
RR
Series 63
Date: 8/20/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1983
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

L&
LYNCH & ASSOCIATES
LYNCH & ASSOCIATES | WJ LYNCH INVESTOR SERVICES, LLC | WJ LYNCH INVESTOR SERVICES LLC

CRD#: 140762 / SEC#: , 8-67335

Massachusetts
Registered Investment Advisory firm - SEC (10/27/2006 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Boston 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
535 Boylston St. Floor T2, Boston, MA 02116
Mailing Address
535 Boylston St. Suite T2, Boston, MA 02116
Phone number
(617) 247-7000
Established
Delaware since 02/06/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
12

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
WJL ASSOCIATES, INC.OWNER
LONGINO, MICHAEL LUTHERPRESIDENT4327203
LYNCH, WILLIAM JOSEPH IIICEO1060714
STULB, CHRISTOPHER CHARLESCCO/CFO/FINOP1676882

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.

Company Information

LYNCH & ASSOCIATES

CRD#: 140762Boston, MA 02116

TRUST BUT VERIFY

Monitor Amy Stern

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Martin Lee Robbins II
Martin RobbinsAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Norwell, MA
TR
Tamara RoseAdvisorCheck Check Mark
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
RR
BOSTON, MA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics