Michael Louis Stern

Current Employers

Employment History

• 05/1993 → 12/2021
  Dorsey & Company, Inc.
  New Orleans, LA
• 12/2021 → Present
  Prospera Financial Services Inc.
  Dallas, TX

Previous Registrations

• 2006-07-21 → 2021-12-03
  Dorsey & Company, Inc.
  New Orleans, LA
  Baton Rouge, LA

Other Businesses

1.) ZONEZ L.L.C., INVESTMENT RELATED - NO; 5609 BLESSEY ST, HARAHAN, LA 70123, ROYALTIES FROM APPAREL SALES, MINORITY OWNER, START DATE 11/1996: ZERO HOURS PER MONTH DEVOTED TO BUSINESS 2.) PKM, LLC; INVESTMENT RELATED - NO; 312 RUE ST. PETER, METAIRIE, LA, 70005 CO-MANAGER, FAMILY INVESTMENTS, START DATE 11/2000; 1-9% OF HIS WEEKLY; 0 HOURS DURING TRADING HOURS 3.) PKM No. 2 LLC; INVESTMENT RELATED - NO; 312 RUE ST. PETER, METAIRIE, LA, 70005 CO-MANAGER, FAMILY INVESTMENTS, START DATE 12/2020; 1-9% OF HIS WEEKLY; 0 HOURS DURING TRADING HOURS 4.) Executor for Edward Rosenblum (client/friend); Investment Related - Yes; 312 Rue St. Peter Metairie, LA 70005; Estate; Executor; 03/2026; 5 Hours per Month; 0 During trading hours; Typical duties of an estate executor: compiling a list of assets & liabilities of the deceased, paying expenses of the deceased/estate, filing a tax return for deceased/estate and distributing the assets to the heirs once a Judgment of Possession is rendered. 5.) Dorsey & Company; Investment Related - Yes; 2121 Airline Dr, Ste 160, Metairie, LA 70001; DBA; Financial Advisor; 11/2021; 160 Hours Per Month; 160 During Trading Hours; Providing financial planning and investment-related services.

Exams

• S65 Uniform Investment Adviser Law Examination
  2000-10-11
• S63 Uniform Securities Agent State Law Examination
  1994-04-21