Randall S. Stern

ISAAK BOND INVESTMENTS

Manhattan Beach, CA 90266

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CRD#: 1338729

Professional summary

Randall Scott Stern is a registered financial advisor currently at ISAAK BOND INVESTMENTS, INC. located in Manhattan Beach, California.

Randall is registered as a RR (Registered Representative) and started their career in finance in 1986. Randall has worked at 6 firms and has passed the Series 63, SIE, Series 87 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Randall Scott 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

August 12, 2015 - Present

ISAAK BOND INVESTMENTS, INC.

Office #1: 1219 Morningside Drive, Suite 215, Manhattan Beach, CA 90266

CRD#: 7413

Manhattan Beach, CA

Past

October 26, 2012 - August 7, 2015

LADENBURG THALMANN & CO. INC.

CRD#: 505

CALABASAS, CA

Past

July 19, 2011 - November 14, 2012

FINANCIAL WEST GROUP

CRD#: 16668

WESTLAKE VILLAGE, CA

Past

July 31, 2009 - July 20, 2011

STOCKCROSS FINANCIAL SERVICES, INC.

RIA

CRD#: 6670

BEVERLY HILLS, CA

Past

July 30, 2009 - July 20, 2011

STOCKCROSS FINANCIAL SERVICES, INC.

CRD#: 6670

BEVERLY HILLS, CA

Past

December 17, 2008 - July 10, 2009

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

BEVERLY HILLS, CA

Past

December 9, 2008 - July 10, 2009

HILLTOP SECURITIES INC.

CRD#: 6220

BEVERLY HILLS, CA

Past

September 30, 2004 - December 31, 2008

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

BEVERLY HILLS, CA

Past

August 19, 1986 - December 31, 2008

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

State Registrations and Notice Filings

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

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

California
(8/12/2015)

Exams

State Security Law Exam

Series 63

Date: 9/30/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 2/8/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 8/16/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ISAAK BOND INVESTMENTS, INC.

CRD#: 7413 / SEC#: , 8-21410

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

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Contact information

Main Address

3900 S Wadsworth Blvd, Ste 590, Lakewood, CO 80235-2224

Mailing Address

3900 S Wadsworth Blvd, Ste 590, Lakewood, CO 80235-2224

Phone number

(303) 623-7500

Established

Colorado since 03/01/1977

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (22 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ISAAK, DAVID JOHN	PRESIDENT AND CO-CHIEF COMPLIANCE OFFICER	1318894
ISAAK, JOHN THOMAS	PRINCIPAL	1357413
ISAAK, BYRON RAY	VICE PRESIDENT
LEMEK, DONALD JAMES	CFO/VICE PRESIDENT OF OPERATIONS, CO-CHIEF COMPLIANCE OFFICER	2620701

Disclosures

Regulatory Event

Red Flags

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

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Randall S. Stern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Randall Scott Stern's CRS (Customer Relationship Summary).

Certified licenses

Experience

LADENBURG THALMANN & CO. INC.

FINANCIAL WEST GROUP

STOCKCROSS FINANCIAL SERVICES, INC.

STOCKCROSS FINANCIAL SERVICES, INC.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

M.L. STERN & CO., LLC.

M.L. STERN & CO., LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/30/1986

SIE

Date: 10/1/2018

Series 87

Date: 2/8/2005

Series 7

Date: 8/16/1986

FINRA

Current Firm

ISAAK BOND INVESTMENTS, INC.

Contact information

FINRA licenses (22 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ISAAK BOND INVESTMENTS, INC.

TRUST BUT VERIFY

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