Michael A. Stern

BEECH HILL ADVISORS,

PLEASANTVILLE, NY

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CRD#: 1243168

Professional summary

Michael Allan Stern is a registered financial advisor currently at BEECH HILL ADVISORS, INC located in Pleasantville, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Michael has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allan Stern's CRS (Customer Relationship Summary).

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

February 26, 2014 - Present

BEECH HILL ADVISORS, INC

RIA

CRD#: 110457

PLEASANTVILLE, NY

Past

March 1, 1999 - September 29, 1999

RAMIUS SECURITIES LLC

CRD#: 41076

NEW YORK, NY

Past

April 1, 1994 - March 7, 1995

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

October 8, 1987 - April 6, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 22, 1984 - October 13, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

BEECH HILL ADVISORS, INC

BEECH HILL ADVISORS, INC | CANTOR, WEISS & WURM ASSET MANAGEMENT CO., INC. | CANTOR & WEISS ASSET MANAGEMENT CO., INC.

CRD#: 110457 / SEC#: 801-31503

RIA

Registered Investment Advisory firm - (4/1/1988 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(2/26/2014)

IAR

Connecticut
(3/27/2014)

IAR

Florida
(3/12/2014)

IAR

Massachusetts
(4/18/2014)

IAR

New Jersey
(3/5/2014)

IAR

New York
(8/17/2022)

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

IAR

Series 65

Date: 1/29/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/8/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/17/1999

General Securities Representative Examination

Current Firm

BEECH HILL ADVISORS, INC

BEECH HILL ADVISORS, INC | CANTOR, WEISS & WURM ASSET MANAGEMENT CO., INC. | CANTOR & WEISS ASSET MANAGEMENT CO., INC.

CRD#: 110457 / SEC#: 801-31503

RIA

Registered Investment Advisory firm - (4/1/1988 Approved)

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Contact information

Main Address

880 Third Ave 16th Floor, New York, NY 10022

Mailing Address

Phone number

(212) 350-7250

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BEECH HILL ADVISORS BROCHURE (8/12/2025)

Regulatory assets under management

Total Number of Accounts	559
AUM (Assets Under Management)	$ 358,565,215

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.

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Firm Stability Insights

Michael A. Stern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Allan Stern's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAMIUS SECURITIES LLC

GRUNTAL & CO., L.L.C.

PRUDENTIAL EQUITY GROUP, LLC

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

BEECH HILL ADVISORS, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/29/2014

Series 63

Date: 3/8/1999

Series 7

Date: 2/17/1999

Current Firm

BEECH HILL ADVISORS, INC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BEECH HILL ADVISORS, INC

TRUST BUT VERIFY

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