Chief Operating Officer

0001653168-15-000003.txt : 20151117 0001653168-15-000003.hdr.sgml : 20151117 20151116202549 ACCESSION NUMBER: 0001653168-15-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151117 DATE AS OF CHANGE: 20151116 EFFECTIVENESS DATE: 20151117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ken Stern & Associates, Inc. CENTRAL INDEX KEY: 0001653168 IRS NUMBER: 330879374 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16999 FILM NUMBER: 151236839 BUSINESS ADDRESS: STREET 1: 3655 NOBEL DRIVE STREET 2: SUITE 630 CITY: SAN DIEGO STATE: CA ZIP: 92122 BUSINESS PHONE: 858-485-0404 MAIL ADDRESS: STREET 1: 3655 NOBEL DRIVE STREET 2: SUITE 630 CITY: SAN DIEGO STATE: CA ZIP: 92122 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001653168 XXXXXXXX 09-30-2015 09-30-2015 Ken Stern & Associates, Inc.

3655 NOBEL DRIVE SUITE 630 SAN DIEGO CA 92122

13F HOLDINGS REPORT 028-16999 N Brian Hendricks Chief Operating Officer 858-485-0404 Brian Hendricks San Diego CA 11-16-2015 0 68 139234 false INFORMATION TABLE 2 2015secondquarterKSA.xml ABBVIE INC SHS 00287Y109 339 5048 SH SOLE 0 5048 0 0 ACE LTD-ORD SHS H0023R105 546 5370 SH SOLE 0 5370 0 0 AETNA INC NEW COMMON STOCK 00817Y108 579 4539 SH SOLE 0 4539 0 0 AFFILIATED MANAGERS GROUP COMMON STOCK 008252108 699 3198 SH SOLE 0 3198 0 0 APPLE INC COMMON STOCK 037833100 1104 8802 SH SOLE 0 8802 0 0 APPLIED MATERIALS INC. COMMON STOCK 038222105 339 17644 SH SOLE 0 17644 0 0 BAXTER INTL INC COMMON STOCK 071813109 222 3176 SH SOLE 0 3176 0 0 BLACKSTONE GRP LP UNIT LTD COMMON STOCK 0253U108 381 9331 SH SOLE 0 9331 0 0 BROADCOM CORP CL A 111320107 327 6344 SH SOLE 0 6344 0 0 CAPITAL ONE FINL CORP COMMON STOCK 14040H105 1251 14222 SH SOLE 0 14222 0 0 CHEVRON CORP NEW COMMON STOCK 166764100 1025 10624 SH SOLE 0 10624 0 0 CITRIX SYS INC COMMON STOCK 177376100 1012 14419 SH SOLE 0 14419 0 0 CORNING INC COMMON STOCK 219350105 239 12109 SH SOLE 0 12109 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 266 6468 SH SOLE 0 6468 0 0 ENERGY TRANSFER PARTNERS LP COMMON STOCK 29273R109 274 5258 SH SOLE 0 5258 0 0 EXXON MOBIL CORP COMMON STOCK 30231G102 324 4146 SH SOLE 0 4146 0 0 FEDEX CORP COMMON STOCK 31428X106 1181 6928 SH SOLE 0 6928 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 314 7527 SH SOLE 0 7527 0 0 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 342 1639 SH SOLE 0 1639 0 0 GOOGLE INC CLASS A COMMON STOCK 38259P508 384 711 SH SOLE 0 711 0 0 HALLIBURTON CO COMMON STOCK 406216101 229 5306 SH SOLE 0 5306 0 0 ILLINOIS TOOL WKS INC COMMON STOCK 452308109 345 3754 SH SOLE 0 3754 0 0 INTEL CORP COMMON STOCK 458140100 620 20387 SH SOLE 0 20387 0 0 ISHARES TR RUS 1000 ETF 464287622 3125 26927 SH SOLE 0 26927 0 0 ISHARES TR GRWT ALLOCAT ETF 464289867 232 5718 SH SOLE 0 5718 0 0 ISHARES TR LEHMAN AGGREGATE ETF 464287266 201 1844 SH SOLE 0 1844 0 0 ISHARES TR MSCI EAFE ETF 464287465 8086 127352 SH SOLE 0 127352 0 0 ISHARES TR RUS 2000 GRW ETF 464287648 9021 58361 SH SOLE 0 58361 0 0 JPMORGAN CHASE & CO COMMON STOCK 46625H100 386 5856 SH SOLE 0 5856 0 0 JOHNSON & JOHNSON COMMON STOCK 478160104 772 8224 SH SOLE 0 8224 0 0 JPMORGAN CHASE & CO ALERIAN ML ETN COMMON STOCK 46625H365 1635 41281 SH SOLE 0 41281 0 0 KINDER MORGAN INC DEL COMMON STOCK 49456B101 500 13024 SH SOLE 0 13024 0 0 MICRON TECHNOLOGY INC COMMON STOCK 595112103 226 11988 SH SOLE 0 11988 0 0 MYLAN LABORATORIES INC COMMON STOCK 595112103 569 8378 SH SOLE 0 8378 0 0 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 259 2963 SH SOLE 0 2963 0 0 NUVEEN QUALITY PFD INCOME FD COM SHS 67072C105 250 29486 SH SOLE 0 29486 0 0 PEPSICO INC COMMON STOCK 713448108 282 3017 SH SOLE 0 3017 0 0 POWERSHARES ETF TRUST DYN PHARM PORT ETF 73935X799 2335 29808 SH SOLE 0 29808 0 0 POWERSHARES ETF TRUST DYNA BUYBK ACH ETF 73935X286 2387 49109 SH SOLE 0 49109 0 0 PPL CORP COMMON STOCK 69351T106 285 9677 SH SOLE 0 9677 0 0 PROCTOR & GAMBLE CO COMMON STOCK 742718109 321 4254 SH SOLE 0 4254 0 0 QUALCOMM INC COMMON STOCK 747525103 1100 17567 SH SOLE 0 17567 0 0 RAYTHEON CO COM NEW 755111507 323 3380 SH SOLE 0 3380 0 0 RYDEX ETF TRUST GUG S&P MC400 PG ETF 78355W601 10364 78333 SH SOLE 0 78333 0 0 RYDEX ETF TRUST GUG S&P500 EQ WT ETF 78355W106 4569 57259 SH SOLE 0 57259 0 0 SCHLUMBERGER LTD COMMON STOCK 806857108 621 7205 SH SOLE 0 7205 0 0 SELECT SECTOR SPDR TR TECHNOLOGY COMMON STOCK 81369Y803 4572 110423 SH SOLE 0 110423 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR COMMON STOCK 81369Y407 4733 61881 SH SOLE 0 61881 0 0 SPDR SER TR SHT TRM HGH YLD COMMON STOCK 78468R408 5125 177253 SH SOLE 0 177253 0 0 SPDR SERIES TRUST S&P HOMEBUILD ETF 78464A888 4112 112285 SH SOLE 0 112285 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE ETF 81369Y209 5692 76505 SH SOLE 0 76505 0 0 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 211 4053 SH SOLE 0 4053 0 0 SELECT SECTOR SPDR TR SBI INT-FINL ETF 81369Y605 4704 192930 SH SOLE 0 192930 0 0 ST JUDE MEDICAL INC COMMON STOCK 790849103 320 4380 SH SOLE 0 4380 0 0 TUPPERWARE BRANDS CORP COMMON STOCK 899896104 218 3371 SH SOLE 0 3371 0 0 TYSON FOODS INC CL A COMMON STOCK 902494103 301 7067 SH SOLE 0 7067 0 0 UNITED PARCEL SERVICE INC CL B COMMON STOCK 911312106 304 3138 SH SOLE 0 3138 0 0 UNITED RENTALS INC COMMON STOCK 911363109 320 3659 SH SOLE 0 3659 0 0 VANGUARD WORLD FDS INF TECH ETF SHS 92204A702 5251 49429 SH SOLE 0 49429 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 19311 102262 SH SOLE 0 102262 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD ETF 92206C409 10493 131847 SH SOLE 0 131847 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT ETF 921937835 6159 75795 SH SOLE 0 75795 0 0 VANGUARD INDEX FDS REIT ETF ETF 922908553 3938 52727 SH SOLE 0 52727 0 0 VENTAS INC COMMON STOCK 92276F100 799 12871 SH SOLE 0 12871 0 0 VERIZON COMMUNICATIONS INC COMMON STOCK 92343V104 747 16016 SH SOLE 0 16016 0 0 VIACOM INC NEW CL B COMMON STOCK 92553P201 316 4888 SH SOLE 0 4888 0 0 DISNEY WALT CO COMMON STOCK 254687106 498 4364 SH SOLE 0 4364 0 0