Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Stern has been in the financial industry since February 2000. David has a diverse background in the industry with previous experience at Morgan Stanley, Wells Fargo Advisors LLC, and Investors Capital Corp. David is currently registered with LPL Financial LLC in Rhode Island and Vermont. David has a wide range of experience and is able to provide financial planning, portfolio management, and other advisory services to a variety of clients.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
RI
03/24/2023 - Present
LPL Financial LLC (WEST WARWICK RI)
RI
09/07/2016 - 03/27/2023
WELLS FARGO CLEARING SERVICES, LLC (PROVIDENCE RI)
RI
06/01/2009 - 09/16/2016
MORGAN STANLEY (PROVIDENCE RI)
MA
04/18/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NORTH DARMOUTH MA)
MA
01/01/2008 - 04/23/2008
WACHOVIA SECURITIES, LLC (DARTMOUTH MA)
MA
04/15/2002 - 01/03/2008
A. G. EDWARDS & SONS, INC. (DARTMOUTH MA)
MA
01/10/2001 - 02/06/2002
INVESTORS CAPITAL CORP. (LYNNFIELD MA)
MA
10/22/1999 - 11/27/2000
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
10/22/1999 - 11/27/2000
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
IA
Issued 11/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/2002
Series 7 - General Securities Representative Examination
BC
Issued 10/21/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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