Paul W. Stenard

INVESTMENT ADVISOR ASSOCIATES | Senior Financial Advisor

Mill Valley, CA 94941-2844

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CRD#: 830119

Professional summary

Paul Whitney Stenard is a registered financial advisor currently at INVESTMENT ADVISOR ASSOCIATES, INC. located in Mill Valley, California.

Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1976. Paul has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 5, PC 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Whitney Stenard'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®

None

Experience

Current

January 3, 2024 - Present

INVESTMENT ADVISOR ASSOCIATES, INC.

Office #1: 311 Miller Avenue Suite A 4, Mill Valley, CA 94941-2844

RIA

CRD#: 157219

Mill Valley, CA

Past

April 9, 2009 - January 10, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MILL VALLEY, CA

Past

April 9, 2009 - January 10, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MILL VALLEY, CA

Past

June 12, 2006 - April 22, 2009

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

SAN FRANCISCO, CA

Past

June 12, 2006 - April 22, 2009

RBC CAPITAL MARKETS, LLC

CRD#: 31194

SAN FRANCISCO, CA

Past

May 10, 2002 - June 13, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN RAFAEL, CA

Past

April 19, 2002 - June 13, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 31, 1993 - April 26, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 28, 1992 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

February 12, 1987 - September 11, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

September 26, 1978 - February 27, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

December 1, 1976 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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

California
(1/3/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/1/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/11/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/9/1981

Interest Rate Options Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 7

Date: 11/20/1976

General Securities Representative Examination

Current Firm

INVESTMENT ADVISOR ASSOCIATES, INC.

CRD#: 157219 / SEC#:

California

Registered Investment Advisory firm - (2/20/2018 Approved)

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Contact information

Main Address

Bakersfield, CA

Mailing Address

Phone number

(818) 501-3171

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	82
AUM (Assets Under Management)	$ 50,146,779

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Paul W. Stenard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Paul Whitney Stenard's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/1/2009

Series 63

Date: 5/11/1987

SIE

Date: 10/1/2018

Series 5

Date: 10/9/1981

PC

Date: 9/8/1977

Series 7

Date: 11/20/1976

Current Firm

INVESTMENT ADVISOR ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

INVESTMENT ADVISOR ASSOCIATES, INC.

TRUST BUT VERIFY

Contact information

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