Kenneth A. 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.
Kenneth Aaron Stern, CFP® was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1988. Kenneth had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
December 6, 2016 - January 2, 2019
INVESTMENT SECURITY CORPORATION
July 3, 2015 - December 3, 2025
LIDO
February 28, 2014 - July 22, 2015
LIDO ADVISORS
January 9, 2002 - December 18, 2014
FIRST ALLIED SECURITIES, INC.
December 23, 1999 - January 30, 2019
KEN STERN & ASSOCIATES INC
July 16, 1999 - December 31, 2001
ASSET PLANNING SOLUTIONS, INC.
September 18, 1997 - January 7, 2000
FIRST ALLIED SECURITIES, INC.
August 27, 1997 - September 18, 1997
FIRST ALLIED SECURITIES, INC.
November 9, 1990 - October 1, 1997
PIM FINANCIAL SERVICES, INC.
May 4, 1990 - April 19, 1991
USA FINANCIAL GROUP, INC.
February 24, 1988 - November 7, 1989
KORN, WOMACK, STERN AND ASSOCIATES, INC.
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
INVESTMENT SECURITY CORPORATION
CRD#: 47536 / SEC#: , 8-51832
Contact information
FINRA licenses (8 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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