Joan SternCRD Number: 4530882
Current Firm: Ubs Financial Services Inc.
Joan Stern (CRD# 4530882) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Westlake Village, CA and has over 14 years of experience in the finance industry.
Fried Asset Management, Inc.
Greyfox Investors LLC
|Ubs Financial Services Inc.||Westlake Villag, CA||Jun 2006 - Current||10|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Aug 2002|
Total Assets Under Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV