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Joseph Stern
27 Years of Experience
San Francisco, CA
1 DisclosureBroker
Joseph Stern is a registered investment advisor at Morgan Stanley, based in San Francisco, CA, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
101 California Street 23rd Floor, San Francisco, CA, 94111
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Regulatory History (1)
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Customer Dispute
September 2017Settled
Other Business Activities
Joseph is involved with a trust, which is investment-related, since November 2019. He dedicates minimal time to this activity, both during and after business hours.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 16 yrs 11 mos
Morgan Stanley
June 2009 - Present · 16 yrs 11 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
May 2007 - June 2009 · 2 yrs 1 mo
Morgan Stanley & CO. IncorporatedBroker
May 2007 - June 2009 · 2 yrs 1 mo
UBS Financial Services INC.
March 2000 - May 2007 · 7 yrs 2 mos
UBS Financial Services INC.Broker
February 2000 - May 2007 · 7 yrs 3 mos
Salomon Smith Barney INC.Broker
February 1999 - February 2000 · 1 yr
Robert W. Baird & CO. IncorporatedBroker
August 1998 - February 1999 · 6 mos
Northwestern Mutual Investment Services, LLCBroker
August 1998 - February 1999 · 6 mos
State Registrations38 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.