M.L. STERN & CO., LLC.
Legal name: M. L. STERN & CO, LLC.
CRD #8327 SEC #801-61738 BEVERLY HILLS, CA 323-658-4400
SEC Registered Broker-Dealer
Total AUM
--
Discretionary
--
Employees
51
Clients
--
Accounts
--
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- --
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Feb 23, 2007
- 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 |
|---|---|---|---|---|
| BENICKES, MILES LIONEL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| BENICKES, MILES LIONEL | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| KANG, ANDREW CHANG HO | I | FINANCIAL AND OPERATIONS PRINCIPAL; CHIEF FINANCIAL OFFICER | NA | |
| KEMPA, STEPHEN FRANK | I | SENIOR VICE PRESIDENT, C.F.O. | NA | |
| KEMPA, STEPHEN FRANK | I | SENIOR VICE PRESIDENT, C.F.O. | NA | |
| MAURER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| MAURER, DAVID | I | CHIEF COMPLIANCE OFFICER | NA | |
| OLSON, CAROL LYNN POUNDSTONE | I | CHIEF COMPLIANCE OFFICER | NA | |
| PORTMAN, JAMES DAVID | I | E.V.P.,C.O.O., C.C.O | NA | Control |
| PORTMAN, JAMES DAVID | I | E.V.P., | NA | Control |
| STERN, MILFORD LEE | I | PRESIDENT | NA | Control |
| STERN, MILFORD LEE | I | PRESIDENT | NA | Control |
| STERN, MILFORD LEE | I | PRESIDENT | NA | Control |
| STERN, MILFORD LEE | I | PRESIDENT | NA | Control |
| PACIFIC SELECT DISTRIBUTORS, INC. | DE | OWNER | E | Control |
| PACIFIC SELECT GROUP, LLC | DE | DIRECT OWNER | E | Control |
| PACIFIC SELECT GROUP, LLC | DE | DIRECT OWNER | E | Control |
| SWS GROUP, INC | DE | DIRECT OWNDER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| PACIFIC LIFE CORP | DE | PACIFIC LIFE INSURANCE CO. | E | Control |
| PACIFIC LIFE CORP | DE | PACIFIC LIFE INSURANCE CO. | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | PACIFIC SELECT GROUP,LLC | E | Control |
| PACIFIC LIFE INSURANCE CO | DE | PACIFIC SELECT GROUP,LLC | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | PACIFIC LIFE CORP | E | Control |
| PACIFIC MUTUAL HOLDING COMPANY | DE | PACIFIC LIFE CORP | E | Control |
Registrations
Federal
IA
Feb 23, 2007 REGISTERED
Notice Filings (12)
AZ CA CO FL ID MI MO NV NY OR SC WA
Address
8350 WILSHIRE BLVDBEVERLY HILLS, CA 90211
USA
Phone: 323-658-4400