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Mark Stern

Stone Ridge Advisors

Stone Ridge, NY

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Current Employers
Stone Ridge Advisors

Stone Ridge, NY • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2023-10-26
TX RA APPROVED_RES 2023-10-16
CA RA APPROVED 2023-10-13
  • NY RA
    APPROVED
    Since 2023-10-26
  • TX RA
    APPROVED_RES
    Since 2023-10-16
  • CA RA
    APPROVED
    Since 2023-10-13

Branch Locations

Stone Ridge, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Laurel Wealth Advisors Solana Beach CA 05/2015 09/2023
Founders Albatross, Inc. New York NY 01/2010 10/2018
Integrated Wealth Concepts, Llc Waltham MA 02/2023 09/2023
Stone Ridge Advisors Stone Ridge NY 09/2023 Present
Previous Registrations
  • 2023-02-06 → 2023-12-20
    Integrated Wealth Concepts Llc
    Solana Beach, CA
    Stone Ridge, NY
  • 2021-02-01 → 2023-03-31
    Laurel Wealth Advisors, Inc.
    Solana Beach, CA
    Stoneridge, NY
  • 2015-05-28 → 2020-12-31
    Laurel Wealth Advisors, Inc.
    Solana Beach, CA
    Stone Ridge, NY
  • 2001-02-20 → 2015-06-09
    Point Windward Advisors, Inc.
    New York, NY
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-24
S63 Uniform Securities Agent State Law Examination 1994-01-27
  • S65 Uniform Investment Adviser Law Examination
    1999-06-24
  • S63 Uniform Securities Agent State Law Examination
    1994-01-27

View on SEC IAPD

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