MS
Michael Stern
CETERA INVESTMENT ADVISERS LLC
WEST COVINA, CA 91790
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CRD#: 5936250
MS
Professional summary
Michael Stern, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in West Covina, California and CETERA WEALTH SERVICES, LLC located in West Covina, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 6 firms and has passed the Series 63, Series 66, 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.
1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 6/2011 APX NUMBER OF HOURS PER WEEK: 25 APX NUMBER OF HOURS DURING TRADING HOURS: 15 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SALES OF LIFE, HEALTH, DISABILITY, ANNUITIES, AND LONG-TERM CARE; 2. NAME OF OTHER BUSINESS: FIDUCIARY ROLE INVESTMENT RELATED: NO ADDRESS: LOS ANGELES, CA 90035 NATURE OF BUSINESS: FIDUCIARY ROLE FOR FATHER START DATE: 3/2021 POSITION/TITLE/RELATIONSHIP: LIMITED AGENT APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 0 BRIEF DESCRIPTION OF DUTIES: CAN TRADE AND OBTAIN INFORMATION ON FATHER'S VANGUARD BROKERAGE ACCOUNTS; 3. NAME OF OTHER BUSINESS: STRATEGIC FORTUNE WEALTH MANAGEMENT-INSURANCE SECURITIES AND FINANCIAL SERVICES; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 9/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR SALE & SERVICE OF FIXED INSURANCE;
CRS (Client Relationship Summary) - RIA
Click below to view Michael 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®
Experience
Current
May 17, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1000 Lakes Drive Suite 340, West Covina, CA 91790RIA
CRD#: 105644
WEST COVINA, CA
Current
May 2, 2024 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1000 Lakes Drive Suite 420, West Covina, CA 91790BD
CRD#: 13572
West Covina, CA
Past
September 9, 2022 - September 27, 2022
PEAK AMERICAN INVESTMENT ADVISORS, INC.
RIA
CRD#: 145056
Los Angeles, CA
Past
June 3, 2021 - July 23, 2021
TAMAR SECURITIES, LLC
RIA
CRD#: 153991
WOODLAND HILLS, CA
Past
January 26, 2018 - June 3, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
LOS ANGELES, CA
Past
January 9, 2018 - June 3, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
LOS ANGELES, CA
Past
October 2, 2013 - December 13, 2017
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
SHERMAN OAKS, CA
Past
October 16, 2012 - December 13, 2017
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
SHERMAN OAKS, CA
Past
September 22, 2011 - September 21, 2012
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BEVERLY HILLS, CA
Past
September 16, 2011 - September 21, 2012
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BEVERLY HILLS, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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(5/17/2024)
IAR
California(5/17/2024)
RR
Minnesota(8/27/2024)
RR
New Jersey(10/17/2025)
RR
New York(1/2/2025)
RR
Virginia(10/2/2024)
RR
Washington(10/17/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/13/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
