0001653168-17-000004.txt : 20171101 0001653168-17-000004.hdr.sgml : 20171101 20171101132343 ACCESSION NUMBER: 0001653168-17-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171101 DATE AS OF CHANGE: 20171101 EFFECTIVENESS DATE: 20171101 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: 171168225 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 09-30-2017 09-30-2017 Ken Stern & Associates, Inc.

3655 NOBEL DRIVE SUITE 630 SAN DIEGO CA 92122

13F HOLDINGS REPORT 028-16999 N Brian Hendricks 8584850404 Brian Hendricks San Diego CA 11-01-2017 0 115 226270 false INFORMATION TABLE 2 Q2201713F.xml ABBVIE INC COM 00287Y109 630 7070 SH SOLE NONE 0 0 7070 AETNA INC NEW COM 00817y108 550 3490 SH SOLE NONE 0 0 3490 ALEXION PHARMACEUTICALS INC COM 015351109 380 2700 SH SOLE NONE 0 0 2700 ALPHABET INC CAP STK CL C 02079K107 280 290 SH SOLE NONE 0 0 290 ALPHABET INC CAP STK CL A 02079K305 910 940 SH SOLE NONE 0 0 940 ALPS ETF TR SECTR DIV DOGS 00162Q858 260 5860 SH SOLE NONE 0 0 5860 ALPS ETF TR ALERIAN MLP 00162Q866 330 29430 SH SOLE NONE 0 0 29430 AMAZON COM INC COM 023135106 680 710 SH SOLE NONE 0 0 710 APPLE HOSPITALITY REIT INC COM NEW 03784Y200 250 13070 SH SOLE NONE 0 0 13070 APPLE INC COM 037833100 1930 12520 SH SOLE NONE 0 0 12520 AT&T INC COM 00206r102 370 9340 SH SOLE NONE 0 0 9340 BLACKROCK INC COM 09247X101 270 610 SH SOLE NONE 0 0 610 CAMDEN PPTY TR SH BEN INT 133131102 650 7080 SH SOLE NONE 0 0 7080 CAPITAL ONE FINL CORP COM 14040h105 340 4010 SH SOLE NONE 0 0 4010 CARNIVAL CORP UNIT 99/99/9999 143658300 290 4500 SH SOLE NONE 0 0 4500 CHEVRON CORP NEW COM 166764100 690 5840 SH SOLE NONE 0 0 5840 CISCO SYS INC COM 17275r102 480 14280 SH SOLE NONE 0 0 14280 CITRIX SYS INC COM 177376100 300 3920 SH SOLE NONE 0 0 3920 CLAYMORE EXCHANGE TRD FD TR GUGG BULSH 2021 18383M266 280 13080 SH SOLE NONE 0 0 13080 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 530 23530 SH SOLE NONE 0 0 23530 CLAYMORE EXCHANGE TRD FD TR GUG BULL2019 E 18383M522 650 30750 SH SOLE NONE 0 0 30750 CLAYMORE EXCHANGE TRD FD TR GUG BULL2018 E 18383M530 1000 47210 SH SOLE NONE 0 0 47210 CLAYMORE EXCHANGE TRD FD TR GUG BULL2020 E 18383M514 1070 49630 SH SOLE NONE 0 0 49630 CORNING INC COM 219350105 540 18020 SH SOLE NONE 0 0 18020 COSTCO WHSL CORP NEW COM 22160k105 270 1650 SH SOLE NONE 0 0 1650 CVS HEALTH CORP COM 126650100 320 3900 SH SOLE NONE 0 0 3900 DBX ETF TR XTRAK MSCI EAFE 233051200 5820 187570 SH SOLE NONE 0 0 187570 DELTA AIR LINES INC DEL COM NEW 247361702 440 9150 SH SOLE NONE 0 0 9150 DISNEY WALT CO COM DISNEY 254687106 330 3320 SH SOLE NONE 0 0 3320 DOWDUPONT INC COM 26078J100 220 3150 SH SOLE NONE 0 0 3150 DUKE ENERGY CORP NEW COM NEW 26441c204 330 3940 SH SOLE NONE 0 0 3940 EATON CORP PLC SHS G29183103 360 4700 SH SOLE NONE 0 0 4700 ESSEX PPTY TR INC COM 297178105 43350 170660 SH SOLE NONE 0 0 170660 EXXON MOBIL CORP COM 30231g102 520 6310 SH SOLE NONE 0 0 6310 FEDEX CORP COM 31428x106 240 1090 SH SOLE NONE 0 0 1090 FIDELITY MSCI INFO TECH I 316092808 210 4490 SH SOLE NONE 0 0 4490 FIDELITY DIVID ETF RISI 316092832 460 15830 SH SOLE NONE 0 0 15830 FIFTH THIRD BANCORP COM 316773100 420 14910 SH SOLE NONE 0 0 14910 FIRST TR EXCHANGE TRADED FD MULTI ASSET DI 33738R100 270 14100 SH SOLE NONE 0 0 14100 GOLDMAN SACHS ETF TR EQUITY ETF 381430503 1220 24410 SH SOLE NONE 0 0 24410 HALLIBURTON CO COM 406216101 370 7950 SH SOLE NONE 0 0 7950 HONEYWELL INTL INC COM 438516106 670 4740 SH SOLE NONE 0 0 4740 HOST HOTELS & RESORTS INC COM 44107p104 240 13250 SH SOLE NONE 0 0 13250 ILLINOIS TOOL WKS INC COM 452308109 500 3360 SH SOLE NONE 0 0 3360 INTEL CORP COM 458140100 670 17480 SH SOLE NONE 0 0 17480 INTUITIVE SURGICAL INC COM NEW 46120E602 240 230 SH SOLE NONE 0 0 230 ISHARES GRWT ALLOCAT ETF 464289867 430 9520 SH SOLE NONE 0 0 9520 ISHARES TR MSCI EMG MKT ETF 464287234 220 4840 SH SOLE NONE 0 0 4840 ISHARES TR SP SMCP600VL ETF 464287879 240 1650 SH SOLE NONE 0 0 1650 ISHARES TR INTL SEL DIV ETF 464288448 250 7390 SH SOLE NONE 0 0 7390 ISHARES TR CORE S&P500 ETF 464287200 290 1140 SH SOLE NONE 0 0 1140 ISHARES TR S&P SML 600 GWT 464287887 310 1900 SH SOLE NONE 0 0 1900 ISHARES TR RUS 1000 ETF 464287622 310 2250 SH SOLE NONE 0 0 2250 ISHARES TR NASDAQ BIOTECH 464287556 350 1050 SH SOLE NONE 0 0 1050 ISHARES TR GLB INFRASTR ETF 464288372 410 8960 SH SOLE NONE 0 0 8960 ISHARES TR NA TEC SFTWR ETF 464287515 550 3750 SH SOLE NONE 0 0 3750 ISHARES TR RUS 1000 VAL ETF 464287598 6450 54410 SH SOLE NONE 0 0 54410 ISHARES TR USA MOMENTUM FCT 46432F396 7210 75350 SH SOLE NONE 0 0 75350 ISHARES TR U.S. FINLS ETF 464287788 7840 69900 SH SOLE NONE 0 0 69900 ISHARES TR SHORT TREAS BD 464288679 8590 77830 SH SOLE NONE 0 0 77830 ISHARES TR BARCLAYS 7 10 YR 464287440 9790 91900 SH SOLE NONE 0 0 91900 ISHARES TR RUS 2000 GRW ETF 464287648 11400 63720 SH SOLE NONE 0 0 63720 JOHNSON & JOHNSON COM 478160104 1400 10790 SH SOLE NONE 0 0 10790 JPMORGAN CHASE & CO COM 46625h100 780 8160 SH SOLE NONE 0 0 8160 LABORATORY CORP AMER HLDGS COM NEW 50540r409 500 3290 SH SOLE NONE 0 0 3290 LAM RESEARCH CORP COM 512807108 470 2520 SH SOLE NONE 0 0 2520 LEIDOS HLDGS INC COM 525327102 940 15880 SH SOLE NONE 0 0 15880 LYONDELLBASELL INDUSTRIES N SHS - 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