Role at Lido Advisors
- Title on Schedule A
- Senior Managing Director & Co-CEO
- Control
- Kenneth Stern is a control person of Lido Advisors.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Kenneth Stern has held the filed role since June 2021.
The firm
Form ADV filed 27 August 2026
Career on record
- Passed SIE · 2018
- Lido Advisors– · 1 yearSan Diego, CA · Adviser representative · Firm CRD 119540
- Passed Series 87 · 2006
- Ken Stern & Associates Inc– · 19 yearsSan Diego, CA · Adviser representative · Firm CRD 110092
- Passed Series 65 · 1999
- Passed Series 24 · 1989
- Passed Series 7 and Series 63 · 1988
Registrations and exams
No current adviser or broker registration. Kenneth Stern has passed 6 qualifying exams.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 14 January 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 15 March 1988 |
| Series 24 | General Securities Principal Examination | 24 February 1989 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 87 | Research Analyst Exam - Part II Regulations Module | 31 January 2006 |
| Series 7 | General Securities Representative Examination | 20 February 1988 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Research Analyst Exam - Part II Regulations Module
- Name
- General Securities Representative Examination
Individual record
- Full name
- Kenneth Aaron Stern
- CRD
- 1754133
- Registration status
- No current adviser or broker registration
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Background
Ken Stern is a founding partner and Co-CEO of Lido Advisors. He founded Asset Planning Solutions and Ken Stern & Associates and is the author of seven books. Lido Advisors official biography or announcement
Education
- Executive MBA, HEC Paris Business SchoolLido Advisors official biography or announcement
- Harvard Business School PLD 34 (attended), Harvard Business SchoolLido Advisors official biography or announcement
Credentials and memberships
- Certified Financial PlannerLido Advisors official biography or announcement
Common questions
Where does Kenneth Stern work?
Kenneth Stern has been Senior Managing Director & Co-CEO of Lido Advisors, LLC since June 2021, and is a control person of the firm.
Does Kenneth Stern have a current investment-adviser registration?
Kenneth Stern has no current investment-adviser or broker registration, as of 17 October 2026.
What exams has Kenneth Stern passed?
Kenneth Stern has passed 6 licensing exams: the Series 7, Series 63, Series 24, Series 65, Series 87 and SIE. The earliest, the Series 7, was passed in February 1988.
Where was Kenneth Stern previously registered as an investment adviser?
Kenneth Stern has past investment-adviser registrations through Lido, July 2015 to December 2025; Lido Advisors, February 2014 to July 2015; Ken Stern & Associates Inc, December 1999 to January 2019, across 3 firms.
Is Kenneth Stern a CFP?
Lido Advisors lists Kenneth Stern with the CFP credential (“Certified Financial Planner”) on its website. CFP Board confirms certification status.
Leadership at Lido Advisors
- Jason OzurSenior Managing Director & Co-Chief Executive Officer
- Brian HaloossimPresident
- Daniel MarquisChief Financial Officer
- Stacy BeattieChief Operating Officer
- Elena RoChief Compliance Officer
- Alexandra BrowneSenior Managing Director & Chief Development Officer
- Jason LeeChief Legal Officer