Daniel B. 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.
Daniel Brian Stern, who also goes by Daniel B Stern, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1987. Daniel had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2012 - June 16, 2016
M HOLDINGS SECURITIES, INC.
November 4, 2011 - January 27, 2012
BEST DIRECT SECURITIES, LLC
June 25, 2007 - December 8, 2009
BREWER FINANCIAL SERVICES, LLC
November 15, 2006 - July 12, 2007
CHICAGO INVESTMENT GROUP, LLC
November 15, 2006 - July 12, 2007
CHICAGO INVESTMENT GROUP, LLC
February 14, 2005 - June 30, 2008
STERN, DANIEL BRIAN
July 9, 2004 - December 31, 2020
STERN INVESTMENT ADVISORS, LLC
June 3, 2004 - December 3, 2004
UHLMANN PRICE SECURITIES, LLC
April 2, 2001 - May 10, 2004
MORGAN STANLEY DW INC.
September 11, 2000 - May 10, 2004
MORGAN STANLEY DW INC.
September 17, 1998 - August 16, 2000
SECURITIES AMERICA, INC.
March 28, 1998 - September 4, 1998
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
April 13, 1994 - March 28, 1998
ADM SECURITIES, INC.
March 24, 1988 - May 3, 1994
CONSOLIDATED INVESTMENT SERVICES, INC.
December 11, 1987 - June 13, 1989
REFCO SECURITIES, LLC
Primary Firm SEC Registration
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
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
M HOLDINGS SECURITIES, INC.
CRD#: 43285 / SEC#: 801-57304, 8-50214
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M FINANCIAL HOLDINGS INCORPORATED | EQUITY OWNER | |
| HANEY-JACKSON, LAURA ELIZABETH | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 4771801 |
| LUDWIG, STEVEN CHARLES | CHIEF COMPLIANCE OFFICER | 2440911 |
| ROGERS, MARIA RENEE | PRINCIPAL FINANCIAL OFFICER | 2442526 |
| SCHOONMAKER, MICHAEL SKI | CHIEF EXECUTIVE OFFICER | 2408456 |
Regulatory assets under management
| Total Number of Accounts | 8,234 |
| AUM (Assets Under Management) | $ 4,078,516,284 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/10/2025 | ||
| 11/13/2024 | ||
| 08/28/2023 |
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.
