Steven D. 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.
Steven David Stern, CFA, who also goes by Steve Stern, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1994. Steven had worked at 1 firm and has passed the Series 2 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2009 - December 7, 2018
STERN INVESTMENT ADVISORY
May 25, 1994 - March 30, 2009
STERN INVESTMENT ADVISORY
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
Series 2
Date: 5/24/1994
Non-Member General Securities ExaminationCurrent Firm
STERN INVESTMENT ADVISORY
CRD#: 129563 / SEC#: 801-68353
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
