| Advisor Profile |
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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. |
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General Information |
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| Name of Broker/Dealer: |
First Allied Securities
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| Years of Experience in Financial Services: |
5
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| Number of Years with Current Firm: |
4
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| I work with the following types of clients: |
Businesses, Investment Clubs, Individual Investors
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Annuities, Bonds, Stocks, Commodities, Alternative Investments, Mutual Funds, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Securities Licenses: |
Series 63, Series 7, Series 65
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| Insurance and Annuity Licenses: |
Variable Annuity, Life, Annuity, Disability, Variable Life
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Firm Information |
| Number of Advisors in Office: |
10 - 99 employees
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| Firm's Number of Clients: |
280-300
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| Advisor's Number of Clients: |
85
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| I am a fee-based financial professional: |
Yes
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| Minimum Portfolio Size for New Managed Accounts: |
$250,000
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| Compensation Methods: |
Flat Fee, Commissions, Based on Assets
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| Prepared By: |
Brendan Van Cleve |
| Most Recent Update: |
12/01/2008 |
Frequently Asked Questions |
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