RS
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Richard Stern
49 Years of Experience
Sarasota, FL
6 DisclosuresBroker
Richard Stern is a registered investment advisor at Raymond James & Associates, INC., based in Sarasota, FL, with 49 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Sarasota, FL
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Regulatory History (6)
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
November 2011Denied
Customer Dispute
September 2009Denied
Customer Dispute
January 2005Settled
Customer Dispute
April 2004Settled
Customer Dispute
April 2003Settled
Customer Dispute
April 2003Withdrawn
Other Business Activities
Richard provides a nightly business report as a business commentator since 1987, dedicating about 10-20% of his time to this activity. This activity is not investment-related.
Employment History
Current Registrations
Raymond James & Associates, INC.
April 2021 - Present · 5 yrs 1 mo
Raymond James & Associates, INC.
April 2021 - Present · 5 yrs 1 mo
Raymond James & Associates, INC.Broker
April 2021 - Present · 5 yrs 1 mo
Previous Registrations
Robert W. Baird & CO. Incorporated
June 2009 - May 2021 · 11 yrs 11 mos
Robert W. Baird & CO. IncorporatedBroker
May 2009 - May 2021 · 12 yrs
Citigroup Global Markets INC.
April 1991 - May 2009 · 18 yrs 1 mo
Citigroup Global Markets INC.Broker
October 1989 - May 2009 · 19 yrs 7 mos
Kidder, Peabody & CO. IncorporatedBroker
August 1984 - October 1989 · 5 yrs 2 mos
Blunt Ellis & Loewi IncorporatedBroker
April 1978 - July 1984 · 6 yrs 3 mos
Loewi & CO., IncorporatedBroker
July 1976 - April 1978 · 1 yr 9 mos
State Registrations1 state
FL
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.