KEN STERN & ASSOCIATES INC
CRD #110092 SEC #801-56991 SAN DIEGO, CA 858-485-0404
SEC Registered
Total AUM
$408.2M
Discretionary
$358.1M
Employees
9
Clients
1
Accounts
871
Firm Details
- Organization Type
- Corporation
- State of Formation
- California
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 30, 2018
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BOROWSKI, LUANNE, MARIE | I | COMPLIANCE OFFICER | NA | |
| BOROWSKI, LUANNE, MARIE | I | COMPLIANCE OFFICER | NA | |
| HENDRICKS, BRIAN, SCOTT | I | CHIEF OPERATING OFFICER | NA | Control |
| HENDRICKS, BRIAN, SCOTT | I | CHIEF OPERATING OFFICER | NA | Control |
| HENDRICKS, BRIAN, SCOTT | I | CHIEF OPERATING OFFICER, CCO (AS OF 2/2016) | NA | Control |
| HENDRICKS, BRIAN, SCOTT | I | CHIEF OPERATING OFFICER, CCO (AS OF 2/2016) | NA | Control |
| HENDRICKS, BRIAN, SCOTT | I | CHIEF OPERATING OFFICER, CCO (AS OF 2/2016) | NA | Control |
| HENDRICKS, BRIAN, SCOTT | I | CHIEF OPERATING OFFICER, CCO (AS OF 2/2016) | NA | Control |
| HENDRICKS, BRIAN, SCOTT | I | CHIEF OPERATING OFFICER, CCO (AS OF 2/2016) | NA | Control |
| HINCK, KATHERINE, SUE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HINCK, KATHERINE, SUE | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF INVESTMENT OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, CHIEF INVESTMENT OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, SECRETARY | NA | Control |
| HOFFMAN, ERIC, GEOFFREY | I | CHIEF FINANCIAL OFFICER, SECRETARY | NA | Control |
| HUCK, DANIEL, P | I | CHIEF COMPLIANCE OFFICER | NA | |
| HUCK, DANIEL, P | I | CHIEF COMPLIANCE OFFICER | NA | |
| MITCHELL, CHRISTOPHER, MILLS | I | CHIEF FINANCIAL OFFICER | NA | Control |
| MITCHELL, CHRISTOPHER, MILLS | I | CHIEF FINANCIAL OFFICER | NA | Control |
| QUINN, ANN, DIANGELIS | I | SECRETARY | NA | Control |
| QUINN, ANN, DIANGELIS | I | SECRETARY | NA | Control |
| QUINN, ANN, DIANGELIS | I | SECRETARY | NA | Control |
| QUINN, ANN, DIANGELIS | I | SECRETARY | NA | Control |
| QUINN, ANN, DIANGELIS | I | SECRETARY | NA | Control |
| QUINN, ANN, DIANGELIS | I | SECRETARY | NA | Control |
| RAMACHANDRAN, ANISH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| RAMACHANDRAN, ANISH | I | CHIEF INVESTMENT OFFICER | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| STERN, KENNETH, AARON | I | PRESIDENT, CEO, MANAGING DIRECTOR, PORTFOLIO MANAGER, ANALYST | NA | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| APS HOLDINGS, INC. | DE | STOCKHOLDER | E | Control |
| STERN, KENNETH, AARON | I | PRESIDENT | E | Control |
| STERN, KENNETH, AARON | I | PRESIDENT | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| LOVELL-STERN, SUSAN, ROSEMARY | I | APS HOLDINGS, INC. | E | |
| LOVELL-STERN, SUSAN, ROSEMARY | I | APS HOLDINGS, INC. | E | |
| LOVELL-STERN, SUSAN, ROSEMARY | I | APS HOLDINGS, INC. | E | |
| LOVELL-STERN, SUSAN, ROSEMARY | I | APS HOLDINGS, INC. | E | |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
| STERN, KENNETH, AARON | I | APS HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Mar 30, 2018 REGISTERED
Notice Filings (7)
CA HI IL MI NY TN TX
Address
3655 NOBEL DRIVESUITE 630
SAN DIEGO, CA 92122
United States
Phone: 858-485-0404