STERN, STEVEN DAVID CFA
Legal name: STERN INVESTMENT ADVISORY
CRD #129563 SEC #801-68353 WASHINGTON, DC 202-248-1762
SEC Registered
Total AUM
$21.2M
Discretionary
$21.2M
Employees
5
Clients
0
Accounts
114
Firm Details
- Organization Type
- Sole Proprietorship
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 23, 2009
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| STERN, STEVEN | I | OWNER | E | Control |
| STERN, STEVEN | I | CHIEF COMPLIANCE OFFICER | E | Control |
| STERN, STEVEN, DAVID | I | OWNER | E | Control |
| STERN, STEVEN, DAVID | I | CHIEF COMPLIANCE OFFICER | E | Control |
| STERN, STEVEN, DAVID | I | OWNER | E | Control |
| STERN, STEVEN, DAVID | I | CHIEF COMPLIANCE OFFICER | E | Control |
| STERN, STEVEN, DAVID | I | OWNER | E | Control |
| STERN, STEVEN, DAVID | I | CHIEF COMPLIANCE OFFICER | E | Control |
| STERN, STEVEN, DAVID | I | OWNER | E | Control |
| STERN, STEVEN, DAVID | I | CHIEF COMPLIANCE OFFICER | E | Control |
| STERN, STEVEN, DAVID | I | OWNER | E | Control |
| STERN, STEVEN, DAVID | I | CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Jun 23, 2009 REGISTERED
Notice Filings (3)
DC FL NJ
Address
4600 CONNECTICUT AVE. NWSUITE # 925
WASHINGTON, DC 20008
United States
Phone: 202-248-1762