Richard Mandel Stern

Current Employers

Raymond James & Associates, Inc.

880 Carillon Parkway, St. Petersburg, FL 33716 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-04-26

FL RA
APPROVED

Since 2021-04-26

Branch Locations

Sarasota, FL • United States

2 N. Tamiami Trail Suite 804, Sarasota, FL 34236 • 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

Organization	City	State	From	To
Robert W. Baird & Co. Inc.	Sarasota	FL	05/2009	04/2021
Raymond James & Associates, Inc.	Sarasota	FL	04/2021	Present

05/2009 → 04/2021

Robert W. Baird & Co. Inc.

Sarasota, FL
04/2021 → Present

Raymond James & Associates, Inc.

Sarasota, FL

Previous Registrations

2009-06-01 → 2021-05-13

Robert W. Baird & Co. Incorporated

Sarasota, FL
1991-04-17 → 2009-05-21

Citigroup Global Markets Inc.

Sarasota, FL

Sarasota, FL

Other Businesses

(1)Name of Business: Business Commentator Address: 1477 10th St, Sarasota , FL, 34231, United States Activity Type: Other Position/Title: Other Investment Related: No Start Date: 10/19/1987 Hours per month devoted to this business: 11-20 Hours per month devoted to this business during trading hours: 0-1 Description of duties: Nightly business report.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1993-11-16
S63	Uniform Securities Agent State Law Examination	1979-09-27

S65 Uniform Investment Adviser Law Examination

1993-11-16
S63 Uniform Securities Agent State Law Examination

1979-09-27

View on SEC IAPD