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Steven Kern

Morgan Stanley
30 Years of Experience
Los Angeles, CA
1 DisclosureBroker
View SEC Summary
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Steven Kern is a registered investment advisor at Morgan Stanley, based in Los Angeles, CA, with 30 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.

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Location

10960 Wilshire Boulevard, Suite 2000, Los Angeles, CA, 90024

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2026
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Steven manages a rental property in Hoboken, NJ, and another in Los Angeles, CA, dedicating minimal time to each. He also rents cars through Turo and owns a wine collection, the latter not being investment-related.

Employment History
Current Registrations
Morgan Stanley
July 2010 - Present · 16 yrs 3 mos
Morgan Stanley
July 2010 - Present · 16 yrs 3 mos
Morgan StanleyBroker
July 2010 - Present · 16 yrs 3 mos
Previous Registrations
UBS Financial Services INC.Broker
August 2004 - August 2010 · 6 yrs
UBS Financial Services INC.
August 2004 - August 2010 · 6 yrs
Citicorp Investment Services
December 2003 - August 2004 · 8 mos
Citicorp Investment ServicesBroker
December 2003 - August 2004 · 8 mos
Quick & Reilly, INC.
September 2003 - January 2004 · 4 mos
Quick & Reilly, INC.Broker
September 2003 - January 2004 · 4 mos
Fisher Investments,inc.
July 2002 - August 2003 · 1 yr 1 mo
Dunwoody Brokerage Services, INC.Broker
January 2001 - December 2001 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1996 - January 1999 · 2 yrs 6 mos
Smith Barney INC.Broker
January 1994 - August 1996 · 2 yrs 7 mos
John Hancock Distributors, INC.Broker
December 1992 - April 1993 · 4 mos
John Hancock Mutual Life Insurance CompanyBroker
December 1992 - April 1993 · 4 mos
State Registrations23 states
AKAZCACTFLHIILMAMDMEMNMTNCNJNMNVNYORPASCTXUTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Steven Kern - Financial Advisor | TrueAdvisor