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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Carl Stern is a financial advisor with over 40 years of experience in the industry. William is currently registered with Morgan Stanley and holds licenses in multiple states, including California and Texas. He has also worked for several other firms, including Merrill Lynch and Morgan Stanley DW Inc. William has a broad range of experience in the industry, with expertise in financial planning, portfolio management, and investment advisory services. William has also been involved in several other businesses throughout his career, including Stern-Felt Properties, FM Jam, and Chateau Rum Row.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
03/19/2012 - Present
Morgan Stanley (La Jolla CA)
CA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LA JOLLA CA)
CA
04/06/2001 - 04/02/2007
MORGAN STANLEY DW INC. (LAJOLLA CA)
NY
09/26/1978 - 03/09/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
04/21/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 06/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 04/16/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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