Nicholas Edward Stern

Current Employers

Employment History

• 10/2012 → 07/2025
  Commonwealth Financial Network
  Waltham, MA
• 10/2012 → 03/2024
  Robert L. Stern Financial Services
  Amherst, MA
• 07/2025 → Present
  Kestra Advisory Services, Llc.
  Amherst, MA
• 07/2025 → Present
  Kestra Investment Services, Llc
  Amherst, MA

Previous Registrations

• 2012-10-15 → 2025-07-15
  Commonwealth Financial Network
  Amherst, MA
• 2011-07-12 → 2012-10-05
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Wayne, PA
• 2010-12-21 → 2011-06-09
  Equitable Advisors, Llc
  Bala Cynwyd, PA

Other Businesses

Name: THE CLUB(S) POSITION: Founder NATURE: Clothing Sales INVESTMENT RELATED: No # OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 10 Indian Pipe Dr, Hadley MA 01035, United States DESCRIPTION: Run business, fulfill orders placed online, order inventory. Name: STERN FINANCIAL POSITION: Owner NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 128 START DATE: 10/12/2012 ADDRESS: 433 West St, Ste 7, Amherst MA 01002, United States DESCRIPTION: Meeting with clients. Overseeing and making trades in client account on a discretionary/fiduciary capacity. Running the business. Overseeing/monitoring/selecting/researching investments. Name; KESTRA ADVISORY SERVICES POSITION: IAR NATURE: Investment advisory services through Kestra Advisory Services, LLC INVESTMENT RELATED: Yes # OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/14/2025 ADDRESS: 5707 Southwest Parkway, Building 2, Suite 400, Austin TX 78735, United States DESCRIPTION: IAR Name: STERN FINANCIALPOSITION: Owner NATURE: Tax/Accounting/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 128 START DATE: 10/12/2012 ADDRESS: 433 West St, Ste 7, Amherst MA 01002, United States DESCRIPTION: Meeting with clients. Overseeing and making trades in client account on a discretionary/fiduciary capacity. Running the business. Overseeing/monitoring/selecting/researching investments. Overseeing CPA.

Exams

• S66 Uniform Combined State Law Examination
  2010-12-09

Designations

Other Names

• Nick Stern