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Detailed Report
ERIC SHELDON STERN
CRD#: 4119941
IA
Investment Adviser
B
Broker
FIRST CITIZENS INVESTOR SERVICES, INC.CRD#: 44430 222 2nd Street
18th Floor
San Francisco, CA 94105
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2010 - 2013 (2 years)2 FIRMS2024 - Present (<1 year)BGERKEN CAPITAL ASSOCIATES (CRD# 28615)2002 - 2002 (<1 year)BWILLIAM O'NEIL & COMPANY, INCO... (CRD# 894)2000 - 2000 (<1 year)
License(s)

State Registrations

B
California 7/10/2024
B
Oregon 12/16/2024
IA
California 7/10/2024
B
Washington 12/16/2024
B
Florida 7/30/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430)
222 2nd Street 18th Floor, San Francisco, CA 94105
Registered with this firm since 7/10/2024
B
FIRST CITIZENS INVESTOR SERVICES, INC. (CRD#:44430)
222 2nd Street 18th Floor, San Francisco, CA 94105
Registered with this firm since 6/10/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/04/2010 - 07/09/2013 MORGAN STANLEY (CRD#:149777) PLEASANTON, CA
B
 09/06/2010 - 07/09/2013 MORGAN STANLEY (CRD#:149777) PLEASANTON, CA
B
 06/11/2002 - 12/05/2002 GERKEN CAPITAL ASSOCIATES (CRD#:28615) MILL VALLEY, CA
B
 04/25/2000 - 08/18/2000 WILLIAM O'NEIL & COMPANY, INCORPORATED (CRD#:894) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.