Michael Stern, financial advisor Sherman Oaks CA
93 score

Michael Stern

CRD Number: 5936250
Current Firm: Prudential Financial Planning Services

Michael Stern (CRD# 5936250) is an Investment Advisor Representative working at Prudential Financial Planning Services in Sherman Oaks, CA and has over 5 years of experience in the finance industry. Michael Stern has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
The Prudential Insurance Company Of America Sherman Oaks, CA Sep 2012 - Current 4
Pruco Securities LLC Sherman Oaks, CA Sep 2012 - Current 4
Mml Investor Services Beverly Hills, CA Aug 2011 - Sep 2012 1
Mass Mutual Life Insurance Company Beverly Hills, CA Jun 2011 - Sep 2012 1
Unemployed Beverly Hills, CA Oct 2007 - May 2011 3
Ucla Extension Los Angeles, CA Apr 2006 - Sep 2007 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Sep 2011
Contact Info for Michael Stern
Phone Number: 800-235-7637
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    4,930
    MILLIONS
  • Total Number of Accounts
    42,153
    ACCOUNTS
  • Average Account Value
    $116,966
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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