Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adam? Claim Your ProfileAdam Kenneth Stern is a financial professional with over 35 years of experience in the industry. Adam is currently registered with Aegis Capital Corp. and has held previous positions with SPENCER TRASK VENTURES, INC., JOSEPHTHAL LYON & ROSS INCORPORATED, J F LOWE & COMPANY INCORPORATED, THOMAS JAMES ASSOCIATES, INC., ALISON, BAER SECURITIES INC., GRAYSTONE NASH, INC. and F.D. ROBERTS SECURITIES, INC. Adam holds FINRA Series 7, 9, 10, 24, 63, 79TO and SIE licenses. Adam specializes in providing financial advice and portfolio management services to high-net-worth individuals, corporations, and pooled investment vehicles. Adam is registered to provide investment advice in all 50 states and the District of Columbia.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
1
2
NY
10/23/2012 - Present
Aegis Capital Corp. (NEW YORK NY)
NY
10/08/1997 - 01/17/2013
SPENCER TRASK VENTURES, INC. (NEW YORK NY)
NY
12/15/1989 - 09/17/1997
JOSEPHTHAL LYON & ROSS INCORPORATED (NEW YORK NY)
NA
10/18/1989 - 01/17/1990
J F LOWE & COMPANY INCORPORATED
NY
12/12/1989 - 01/01/1990
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
NA
12/13/1988 - 10/19/1989
ALISON, BAER SECURITIES INC.
NA
10/27/1987 - 12/19/1988
GRAYSTONE NASH, INC.
NA
10/21/1987 - 10/30/1987
F.D. ROBERTS SECURITIES, INC.
BC
Issued 12/11/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/13/1999
Series 24 - General Securities Principal Examination
BC
Issued 12/30/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Adam Stern is the right advisor for you? Invested Better is here to help.
