Business Description

Ken Stern & Associates is a direct money management company, providing investment services to individuals and small business owners. I am dedicated to assisting clients with their financial needs and goals of wealth accumulation, paying lower and fewer taxes, and protecting legacies through a multi-disciplined approach of estate, tax, and investment management.

Ken Stern & Associates is a Registered Investment Advisor. Securities offered through First Allied Securities, Inc., A Registered Broker/Dealer,Member FINRA/SIPC.

General Information

Gender:

Male

CRD#:

4957502

Firm CRD#:

32444

Name of Broker/Dealer:

First Allied Securities

States Licensed in:

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Businesses, Investment Clubs, Individual Investors

Services

Investment Types:

Exchange Traded Funds (ETFs), Annuities, Bonds, Stocks, Commodities, Alternative Investments, Mutual Funds, Socially Responsible Investments (SRI)

Qualifications & Memberships

Securities Licenses:

Series 63, Series 7, Series 65

Insurance and Annuity Licenses:

Variable Annuity, Life, Annuity, Disability, Variable Life

Firm Information

Number of Advisors in Office:

10 - 99 employees

Firm's Number of Clients:

280-300

Advisor's Number of Clients:

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

$250,000

Compensation Methods:

Flat Fee, Commissions, Based on Assets

Prepared By:

Brendan Van Cleve

Most Recent Update:

12/01/2008