ES
Eric S. Stern
FIRST CITIZENS INVESTOR SERVICES
San Francisco, CA 94105
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CRD#: 4119941
ES
Professional summary
Eric Sheldon Stern is a registered financial advisor currently at FIRST CITIZENS INVESTOR SERVICES, INC. located in San Francisco, California and SVB WEALTH located in San Francisco, California.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Eric has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
SVB Wealth, 53 State Street, Boston, MA 02109; SVB Wealth is an affiliated IA Firm; as a Wealth Consultant I will be meeting with existing and prospective clients to discuss the full range of investment capabilities. Began 10/1/2025; 5 hours/month, 2 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Sheldon Stern's 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®
NoneExperience
Current
July 10, 2024 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105RIA
BD
CRD#: 44430
San Francisco, CA
Current
November 3, 2025 - Present
SVB WEALTH
Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105RIA
CRD#: 172832
San Francisco, CA
Current
June 10, 2024 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 222 2nd Street 18th Floor, San Francisco, CA 94105RIA
BD
CRD#: 44430
San Francisco, CA
Past
October 4, 2010 - July 9, 2013
MORGAN STANLEY
RIA
CRD#: 149777
PLEASANTON, CA
Past
September 6, 2010 - July 9, 2013
MORGAN STANLEY
BD
CRD#: 149777
PLEASANTON, CA
Past
June 11, 2002 - December 5, 2002
GERKEN CAPITAL ASSOCIATES
BD
CRD#: 28615
MILL VALLEY, CA
Past
April 25, 2000 - August 18, 2000
WILLIAM O'NEIL SECURITIES
BD
CRD#: 894
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
California(7/10/2024)
IAR
California(7/10/2024)
RR
Florida(7/30/2024)
RR
Oregon(12/16/2024)
RR
Washington(12/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/10/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
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Contact information
Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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.
