AS
Alan B. Stern
STERN CAPITAL MANAGEMENT
Old Bridge, NJ 08857
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CRD#: 6358722
AS
Professional summary
Alan Brian Stern is a registered financial advisor currently at STERN CAPITAL MANAGEMENT, INC. located in Old Bridge, New Jersey.
Alan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Alan has worked at 1 firm and has passed the Series 65 exam.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Alan Brian 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
August 27, 2015 - Present
STERN CAPITAL MANAGEMENT, INC.
Office #1: 18 Throckmorton Lane Suite 201, Old Bridge, NJ 08857RIA
CRD#: 124405
Old Bridge, NJ
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".
SC
STERN CAPITAL MANAGEMENT, INC.
STERN CAPITAL MANAGEMENT, INC.
CRD#: 124405 / SEC#: 801-110311
RIA
Registered Investment Advisory firm - (4/11/2017 Approved)California
Registered Investment Advisory firm - (6/2/2017 Terminated)Florida
Registered Investment Advisory firm - (5/3/2017 Terminated)New Jersey
Registered Investment Advisory firm - (6/21/2017 Terminated)New York
Registered Investment Advisory firm - (5/3/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/4/2017 Terminated)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.Highlighted states indicate IAR registrations
IAR
New Jersey(8/27/2015)
Current Firm
SC
STERN CAPITAL MANAGEMENT, INC.
STERN CAPITAL MANAGEMENT, INC.
CRD#: 124405 / SEC#: 801-110311
RIA
Registered Investment Advisory firm - (4/11/2017 Approved)California
Registered Investment Advisory firm - (6/2/2017 Terminated)Florida
Registered Investment Advisory firm - (5/3/2017 Terminated)New Jersey
Registered Investment Advisory firm - (6/21/2017 Terminated)New York
Registered Investment Advisory firm - (5/3/2017 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/4/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
18 Throckmorton Lane Suite 201, Old Bridge, NJ 08857
Mailing Address
Phone number
(732) 679-7050
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 652 |
| AUM (Assets Under Management) | $ 252,174,004 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
