Nicholas Stern is a CFP-designated registered investment advisor, based in Austin, TX, with 16 years of industry experience.
Location
5707 Southwest Parkway, Building 2, Suite 400, Austin, TX, 78735
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Nicholas sells fixed insurance products, dedicating about 10-20% of his time to this activity. He also owns The Club(s), a golf-related merchandise and media business, but spends minimal time on it.
Employment History
Current Registrations
Kestra Investment Services, LLCBroker
Kestra Advisory Services, LLC
Previous Registrations
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations28 states
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