Mark Stern
Professional summary
Mark Stern is a registered financial advisor currently at STONE RIDGE ADVISORS located in Stone Ridge, New York.
Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Mark has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Stern's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2023 - Present
STONE RIDGE ADVISORS
February 6, 2023 - December 20, 2023
INTEGRATED WEALTH CONCEPTS LLC
February 1, 2021 - March 31, 2023
LAUREL WEALTH ADVISORS, INC.
May 28, 2015 - December 31, 2020
LAUREL WEALTH ADVISORS, INC.
February 20, 2001 - June 9, 2015
BEECH HILL ADVISORS, INC
July 1, 1999 - June 9, 2015
BEECH HILL SECURITIES, INC.
January 24, 1994 - July 12, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
STONE RIDGE ADVISORS
CRD#: 327875 / SEC#: 801-128819
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/13/2023)
(10/26/2023)
(10/16/2023)
Exams
Series 55
Date: 1/28/2000
Limited Representative-Equity Trader ExamCurrent Firm
STONE RIDGE ADVISORS
CRD#: 327875 / SEC#: 801-128819
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 30 |
| AUM (Assets Under Management) | $ 36,456,770 |
Red Flags
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