Documents


Privacy Policy

Safeguarding your personal information is important to us. We will not disclose any non-public information about our customers or former customers to anyone, except as permitted by law and described below.


Characteristics and Risks of Standardized Options

Prior to buying or selling an option, investors must read a copy of the Characteristics & Risks of Standardized Options, also known as the options disclosure document (ODD). It explains the characteristics and risks of exchange traded options.


Business Continuity Plan

Stern Brothers has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.


Stern Form CRS (Client Relationship Summary)

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 affect 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.