Richard R. Stern
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.
Richard Randall Stern, CFP® was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2007 - July 8, 2019
MISSIONSQUARE RETIREMENT
August 7, 2007 - July 8, 2019
MISSIONSQUARE INVESTMENT SERVICES
October 31, 2005 - September 4, 2007
OSAIC SERVICES, INC.
September 15, 2005 - November 21, 2007
HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
August 31, 2005 - October 31, 2005
SUNAMERICA SECURITIES, INC.
February 5, 2002 - September 2, 2005
WADDELL & REED
February 5, 2002 - September 2, 2005
WADDELL & REED
October 13, 1998 - October 5, 2001
METROPOLITAN LIFE INSURANCE COMPANY
October 13, 1998 - October 5, 2001
MSI FINANCIAL SERVICES, INC.
February 14, 1990 - March 31, 1999
METLIFE INVESTORS DISTRIBUTION COMPANY
January 4, 1990 - February 27, 1990
PIM FINANCIAL SERVICES, INC.
March 25, 1988 - January 2, 1990
WARNER BECK INCORPORATED
April 7, 1987 - March 17, 1988
KORN, WOMACK, STERN AND ASSOCIATES, INC.
October 23, 1985 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
January 11, 1985 - April 29, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
