0001653168-16-000025.txt : 20161115 0001653168-16-000025.hdr.sgml : 20161115 20161115111915 ACCESSION NUMBER: 0001653168-16-000025 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161115 DATE AS OF CHANGE: 20161115 EFFECTIVENESS DATE: 20161115 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: 161998421 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 false false 0001653168 XXXXXXXX 09-30-2016 09-30-2016 Ken Stern & Associates, Inc.

3655 NOBEL DRIVE SUITE 630 SAN DIEGO CA 92122

13F HOLDINGS REPORT 028-16999 N Brian Hendricks 858-485-0404 Brian Hendricks San Diego CA 11-15-2016 0 92 144825 false INFORMATION TABLE 2 2016thirdquarterKA.XML ABBVIE INC COMMON STOCK 00287Y109 462 7317 SH SOLE 0 0 0 7317 AETNA INC NEW COMMON STOCK 00817Y108 416 3607 SH SOLE 0 0 0 3607 AIR LEASE CORP CL A 00912X302 249 8724 SH SOLE 0 0 0 8724 ALPS ETF TR ALERIAN MLP 00162Q866 203 16001 SH SOLE 0 0 0 16001 ALPHABET INC CAP STK CL A 02079K305 756 940 SH SOLE 0 0 0 940 AMAZON.COM COMMON STOCK 23135106 588 702 SH SOLE 0 0 0 702 ANNALY CAP MGMT INC COMMON STOCK 35710409 195 18614 SH SOLE 0 0 0 18614 APPLE INC COMMON STOCK 037833100 1367 12092 SH SOLE 0 0 0 12092 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 361 14152 SH SOLE 0 0 0 14152 CAMDEN PPTY TR SH BEN INT 133131102 323 3852 SH SOLE 0 0 0 3852 CAPITAL ONE FINL CORP COMMON STOCK 14040H105 491 6834 SH SOLE 0 0 0 6834 CHEVRON CORP NEW COMMON STOCK 166764100 763 7412 SH SOLE 0 0 0 7412 CHUBB LIMITED COMMON STOCK H1467J104 280 2225 SH SOLE 0 0 0 2225 CISCO SYS INC COMMON STOCK 17275R102 460 14491 SH SOLE 0 0 0 14491 CITRIX SYS INC COMMON STOCK 177376100 586 6878 SH SOLE 0 0 0 6878 CONOCOPHILLIPS COMMON STOCK 20825C104 232 5346 SH SOLE 0 0 0 5346 CORNING INC COMMON STOCK 219350105 441 18667 SH SOLE 0 0 0 18667 CVS HEALTH CORP COMMON STOCK 126650100 361 4056 SH SOLE 0 0 0 4056 DELTA AIR LINES INC DEL COM NEW 247361702 373 9470 SH SOLE 0 0 0 9470 DUKE ENERGY CORP NEW COM NEW 26441C204 345 4315 SH SOLE 0 0 0 4315 ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 263 7103 SH SOLE 0 0 0 7103 EXXON MOBIL CORP COMMON STOCK 30231G102 502 5754 SH SOLE 0 0 0 5754 FIRST TR EXCHANGE TRADED FD MULTI ASSET DI 33738R100 225 11894 SH SOLE 0 0 0 11894 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 347 7959 SH SOLE 0 0 0 7959 CLAYMORE EXCHANGE TRD FD TR GUG BULL2019 E 18383M522 527 24647 SH SOLE 0 0 0 24647 CLAYMORE EXCHANGE TRD FD TR GUG BULL2018 E 18383M530 534 25063 SH SOLE 0 0 0 25063 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 453 19989 SH SOLE 0 0 0 19989 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 537 24752 SH SOLE 0 0 0 24752 HALLIBURTON CO COMMON STOCK 406216101 366 8163 SH SOLE 0 0 0 8163 HOST HOTELS & RESORT INC COMMON STOCK 44107P104 214 13718 SH SOLE 0 0 0 13718 I SHARES TR SP SMCP600GR ETF 464287887 261 1900 SH SOLE 0 0 0 1900 ILLINOIS TOOL WKS INC COMMON STOCK 452308109 714 5955 SH SOLE 0 0 0 5955 INTEL CORP COMMON STOCK 458140100 536 14199 SH SOLE 0 0 0 14199 ISHARES TR 3-7 YR TR BD ETF 464287440 9819 87761 SH SOLE 0 0 0 87761 ISHARES TR CORE S&P 500 ETF 464287200 8820 40539 SH SOLE 0 0 0 40539 ISHARES TR GLB INFRASTR ETF 464288372 203 4873 SH SOLE 0 0 0 4873 ISHARES TR GRWT ALLOCAT ETF 464289867 372 9033 SH SOLE 0 0 0 9033 ISHARES MSCI JAPAN ETF 464286848 133 10586 SH SOLE 0 0 0 10586 ISHARES TR USA MOMENTUM FCT 46432F396 5705 73741 SH SOLE 0 0 0 73741 ISHARES TR RUS 1000 VAL ETF 464287598 5574 52776 SH SOLE 0 0 0 52776 ISHARES TR RUS 2000 GRW ETF 464287648 9427 63309 SH SOLE 0 0 0 63309 ISHARES TR 3-7 YR TR BD ETF 464288661 314 2480 SH SOLE 0 0 0 2480 ISHARES TR SP SMCP 600VL ETF 464287879 253 2030 SH SOLE 0 0 0 2030 ISHARES TR INTERN CR BD ETF 464288638 238 2141 SH SOLE 0 0 0 2141 ISHARES TR NASDQ BIOTEC ETF 464287556 340 1175 SH SOLE 0 0 0 1175 ISHARES TR RUS 1000 ETF 464287622 739 6134 SH SOLE 0 0 0 6134 ISHARES AGGRES ALLOC ETF 464289859 205 3410 SH SOLE 0 0 0 3410 J P Morgan & CO COMMON STOCK 46625H100 568 8525 SH SOLE 0 0 0 8525 JOHNSON & JOHNSON COMMON STOCK 478160104 1232 10431 SH SOLE 0 0 0 10431 LABORATORY CORP AMER HLDGS COM NEW 50540R409 469 3409 SH SOLE 0 0 0 3409 LAM RESEARCH CORP COMMON STOCK 512807108 490 5172 SH SOLE 0 0 0 5172 LYONDELLBASELL INDUSTRIES N SHS-A- N53745100 296 3675 SH SOLE 0 0 0 3675 MICRON TECHNOLOGY INC COMMON STOCK 595112103 299 16809 SH SOLE 0 0 0 16809 MYLAN NV SHS EURO N59465109 251 6589 SH SOLE 0 0 0 6589 NORDSTORM INC COMMON STOCK 655664100 325 6255 SH SOLE 0 0 0 6255 NUVEEN PREFERRED SECURITIES COMMON 67072C105 713 74383 SH SOLE 0 0 0 74383 PACCAR INC COMMON STOCK 693718108 364 6188 SH SOLE 0 0 0 6188 PEPSICO INC COMMON STOCK 713448108 479 4404 SH SOLE 0 0 0 4404 PFIZER INC COMMON STOCK 717081103 325 9590 SH SOLE 0 0 0 9590 POWERSHARES ETF TRUST FTSE RAFI 1000 73935X583 800 8543 SH SOLE 0 0 0 8543 PPL CORP COMMON STOCK 69351T106 526 15210 SH SOLE 0 0 0 15210 PROCTOR & GAMBLE CO COMMON STOCK 742718109 559 6230 SH SOLE 0 0 0 6230 QUALCOMM INC COMMON STOCK 747525103 782 11413 SH SOLE 0 0 0 11413 RAYTHEON CO COM NEW 755111507 283 2080 SH SOLE 0 0 0 2080 SCHWAB STRATEGIC TRI US DIVIDEND EQ 808524797 5070 119824 SH SOLE 0 0 0 119824 SELECT SECTOR SPDR TR SBI INT-INDS 83169Y704 7079 121257 SH SOLE 0 0 0 121257 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 6923 86490 SH SOLE 0 0 0 86490 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 7110 133624 SH SOLE 0 0 0 133624 SOUTHERN CO COMMON STOCK 842587107 340 6630 SH SOLE 0 0 0 6630 SPDR SERIES TRUST S&P REGL BKG 78464A698 5243 124037 SH SOLE 0 0 0 124037 SPDR SERIES TRUST BRCLYS 1-3MT ETF 78464A680 493 10782 SH SOLE 0 0 0 10782 SPDR SERIES TRUST BRCLYS INTL ETF 78464A516 306 10606 SH SOLE 0 0 0 10606 SPDR SERIES TRUST S&P DIVID ETF 78464A763 574 6804 SH SOLE 0 0 0 6804 SPDR S&P 500 ETF TR TR UNIT 78462F103 628 2903 SH SOLE 0 0 0 2903 STARBUCKS CORP COMMON STOCK 855244109 307 5668 SH SOLE 0 0 0 5668 MADDEN STEVEN LTD COMMON STOCK 556269108 297 8587 SH SOLE 0 0 0 8587 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 467 2937 SH SOLE 0 0 0 2937 UNDER ARMOUR INC CL A 904311107 283 7321 SH SOLE 0 0 0 7321 UNITED PARCEL SERVICE INC CL B 911312106 510 4663 SH SOLE 0 0 0 4663 UNITED STATES OIL FUND LP UNITS 91232N108 131 12016 SH SOLE 0 0 0 12016 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 263 1922 SH SOLE 0 0 0 1922 VANGUARD WORLD FDS HEALTH CAR ETF 92204A504 5142 38694 SH SOLE 0 0 0 38694 VANGUARD WORLD FDS INF TECH ETF 92204A702 7073 58763 SH SOLE 0 0 0 58763 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 15615 178136 SH SOLE 0 0 0 178136 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 4474 22518 SH SOLE 0 0 0 22518 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 241 2691 SH SOLE 0 0 0 2691 VANGUARD INTL EQUITY INDEX F FTSE EUROPE ETF 922042874 321 6594 SH SOLE 0 0 0 6594 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 8226 97764 SH SOLE 0 0 0 97764 VANGUARD INDEX FDS TOTAL STK MKT 922908769 663 5952 SH SOLE 0 0 0 5952 VERIZON COMMUNICATIONS INC COMMON STOCK 92343V104 708 13618 SH SOLE 0 0 0 13618 WALT DISNEY CO COMMON STOCK 254687106 318 3423 SH SOLE 0 0 0 3423 WELLS FARGO & CO NEW COMMON STOCK 949746101 386 8721 SH SOLE 0 0 0 8721