John Michael Stern

Employer firm

Pks Investment Advisors LLC CRD 110147

$367M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Pks Investment Advisors Llc

1801 Sweetbay Drive, Salisbury, MD 21804 • United States

Current Registrations

Authority	Category	Status	Date
MD	RA	APPROVED	2000-01-12

MD RA
APPROVED

Since 2000-01-12

Branch Locations

1801 Sweetbay Drive, Salisbury, MD 21804 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Pks Investment Advisors Llc	Salisbury	MD	08/1999	12/2020
Pks & Company, P.A.	Salisbury	MD	12/1985	12/2020
Pks & Company, P.A.	Salisbury	MD	01/2020	Present
Pks Investment Advisors Llc	Salisbury	MD	01/2020	Present

08/1999 → 12/2020

Pks Investment Advisors Llc

Salisbury, MD
12/1985 → 12/2020

Pks & Company, P.A.

Salisbury, MD
01/2020 → Present

Pks & Company, P.A.

Salisbury, MD
01/2020 → Present

Pks Investment Advisors Llc

Salisbury, MD

Other Businesses

PKS & COMPANY, P.A. 1801 SWEETBAY DRIVE SALISBURY, MD 21804 NON-INVESTMENT RELATED ACCOUNTING FIRM ADVISOR JANUARY 2020-PRESENT DEVOTES APPROXIMATELY 140 HOURS PER MONTH, 90% OF WHICH ARE DURING SECURITIES TRADING HOURS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-23

S65 Uniform Investment Adviser Law Examination

1999-12-23

Designations

Personal Financial Specialist

View on SEC IAPD