AS
AS
Alan Sternberg
23 Years of Experience
Brookfield, WI
1 DisclosureBroker
Alan Sternberg is a registered investment advisor at J.P. Morgan Securities LLC, based in Brookfield, WI, with 23 years of industry experience. Alan is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B
Fee Structure
Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 0.60% |
| $250K+ | 0.50% |
Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
14900 West Capitol Drive, Brookfield, WI, 53005
Get directionsHistory
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
March 2010Closed-No Action
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
March 2013 - Present · 13 yrs 7 mos
J.P. Morgan Securities LLC
March 2013 - Present · 13 yrs 7 mos
Previous Registrations
U.S. Bancorp Investments, INC.
March 2010 - March 2013 · 3 yrs
U.S. Bancorp Investments, INC.Broker
March 2010 - March 2013 · 3 yrs
M&i Financial Advisors, INCBroker
January 2006 - March 2010 · 4 yrs 2 mos
M&i Financial Advisors, INC.
January 2006 - March 2010 · 4 yrs 2 mos
Chase Investment Services CORP.
July 2005 - January 2006 · 6 mos
Chase Investment Services CORP.Broker
July 2005 - January 2006 · 6 mos
Banc One Securities Corporation
June 2005 - July 2005 · 1 mo
Banc One Securities CorporationBroker
July 2003 - July 2005 · 2 yrs
World Group Securities, INC.Broker
December 2002 - July 2003 · 7 mos
Goldenberg, Hehmeyer & CO.Broker
January 2002 - February 2002 · 1 mo
State Registrations40 states
AKARAZCACOCTDCDEFLGAHIIAILINKSKYMDMIMNMOMSMTNCNENHNJNMNVNYOHORPASCSDTNTXUTVAWAWI
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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