David Carl Stern

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2008 → 09/2016
  Morgan Stanley & Co., Incorporated
  Dartmouth, MA
• 06/2009 → 09/2016
  Morgan Stanley Smith Barney
  North Darmouth, MA
• 01/2015 → 09/2016
  Morgan Stanley Private Bank, National Association
  New York, NY
• 09/2016 → 11/2016
  Wells Fargo Advisors Llc
  Providence, RI
• 11/2016 → 03/2023
  Wells Fargo Clearing Services, Llc
  Providence, RI
• 03/2023 → Present
  Lpl Financial Llc
  West Warwick, RI

Previous Registrations

• 2016-09-07 → 2023-03-27
  Wells Fargo Clearing Services, Llc
  Providence, RI
  Lyndonville, VT
• 2013-02-20 → 2016-09-16
  Morgan Stanley
  Providence, RI
  Newport, RI

Other Businesses

1) 03/01/2023 - Sardelli & Hutchinson Wealth Management - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s).

Exams

• S63 Uniform Securities Agent State Law Examination
  1999-11-16
• S65 Uniform Investment Adviser Law Examination
  1999-11-16

Other Names

• David C Stern