Michael Warren Stern

Employer firm

Arlington Investment Advisors CRD 292896

$24.0M regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Educational seminars

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

Current Employers

Arlington Investment Advisors

Arlington, MA • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2018-07-13

MA RA
APPROVED

Since 2018-07-13

Branch Locations

Arlington, MA • 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

Other Businesses

Mr. Stern is currently the executive officer for Massinvestor, Inc., which primarily publishes information on the Venture Capital and Private Equity industry.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2018-01-30
S63	Uniform Securities Agent State Law Examination	1992-04-13

S65 Uniform Investment Adviser Law Examination

2018-01-30
S63 Uniform Securities Agent State Law Examination

1992-04-13

Other Names

Mike Stern

View on SEC IAPD