Regulation Best Interest

We are providing the below information in response to the Securities and Exchange Commissions new rule, “Regulation Best Interest”. This new rule will help ensure that we are acting in your best interest wen we recommend security accounts and/or security positions to you.

The Client Relationship Summary is intended to explain, in plain English, how you pay for trades, how our reps are compensated, any conflicts of interest that may effect our recommendations, and allow you to view any legal or disciplinary information regarding our firm and our representatives. This information will help you decide whether Stern has the products and services necessary to address your financial goals.

• Stern Form CRS (Client Relationship Summary)
• Stern Brothers Retail Commission Schedule
• Firm BrokerCheck
• Representative BrokerCheck
• New Account form

You may also visit www.investor.gov/CRS for a free and simple search tool to research us and our financial professionals. For additional information about our brokers and services, visit https://brokercheck.finra.org/, our web site www.sternbrothers.com and refer to your account agreement.