0001653168-16-000020.txt : 20160610 0001653168-16-000020.hdr.sgml : 20160610 20160610150815 ACCESSION NUMBER: 0001653168-16-000020 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20160610 DATE AS OF CHANGE: 20160610 EFFECTIVENESS DATE: 20160610 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-16999 FILM NUMBER: 161708450 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/A 1 primary_doc.xml 13F-HR/A LIVE false false false 0001653168 XXXXXXXX 09-30-2015 09-30-2015 true 1 RESTATEMENT 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 06-09-2016 0 70 128829 false INFORMATION TABLE 2 2015thirdquarterkensternrev.xml ABBVIE INC SHS 00287Y109 318 5850 SH SOLE 0 0 0 5850 ACE LTD-ORD SHS H0023R105 675 6530 SH SOLE 0 0 0 6530 AETNA INC NEW COMMON STOCK 00817Y108 603 5515 SH SOLE 0 0 0 5515 AFFILIATED MANAGERS GROUP COMMON STOCK 008252108 463 2708 SH SOLE 0 0 0 2708 AIR LEASE CORP SHS 00912X302 210 6806 SH SOLE 0 0 0 6806 AKORN INCORPORATED COMMON STOCK 009728106 220 7729 SH SOLE 0 0 0 7729 APPLE INC COMMON STOCK 037833100 1061 9621 SH SOLE 0 0 0 9621 APPLIED MATERIALS INC. COMMON STOCK 038222105 309 21059 SH SOLE 0 0 0 21059 BLACKSTONE GRP LP UNIT LTD COMMON STOCK 0253U108 351 11082 SH SOLE 0 0 0 11082 BROADCOM CORP CL A 111320107 396 7708 SH SOLE 0 0 0 7708 CAPITAL ONE FINL CORP COMMON STOCK 14040H105 888 12240 SH SOLE 0 0 0 12240 CHEVRON CORP NEW COMMON STOCK 166764100 760 9630 SH SOLE 0 0 0 9630 CITRIX SYS INC COMMON STOCK 177376100 865 12481 SH SOLE 0 0 0 12481 CORNING INC COMMON STOCK 219350105 251 14653 SH SOLE 0 0 0 14653 DELTA AIR LINES INC DEL COM NEW 247361702 337 7506 SH SOLE 0 0 0 7506 ENERGY TRANSFER PARTNERS LP UNIT LTD PARTN 29273R109 245 5956 SH SOLE 0 0 0 5956 EXXON MOBIL CORP COMMON STOCK 30231G102 351 4722 SH SOLE 0 0 0 4722 FEDEX CORP COMMON STOCK 31428X106 862 5986 SH SOLE 0 0 0 5986 HALLIBURTON CO COMMON STOCK 406216101 224 6341 SH SOLE 0 0 0 6341 HOST HOTELS & RESORT INC COMMON STOCK 44107P104 185 11715 SH SOLE 0 0 0 11715 ILLINOIS TOOL WKS INC COMMON STOCK 452308109 376 4562 SH SOLE 0 0 0 4562 INTEL CORP COMMON STOCK 458140100 717 23774 SH SOLE 0 0 0 23774 ISHARES TR RUS 1000 ETF 464287622 2115 19754 SH SOLE 0 0 0 19754 ISHARES TR GRWT ALLOCAT ETF 464289867 231 6061 SH SOLE 0 0 0 6061 ISHARES TR LEHMAN AGGREGATE ETF 464287266 273 2495 SH SOLE 0 0 0 2495 ISHARES TR RUSSELL 2000 GR ETF 464287648 8192 61150 SH SOLE 0 0 0 61150 ISHARES TR RUS 1000 GRW ETF 464287614 4619 49667 SH SOLE 0 0 0 49667 ISHARES TR CORE S&P500 ETF 464287200 7333 38051 SH SOLE 0 0 0 38051 ISHARES TR 1-3 YR TR BD ETF 464287457 5390 63415 SH SOLE 0 0 0 63415 JPMORGAN CHASE & CO COMMON STOCK 46625H100 418 6848 SH SOLE 0 0 0 6848 JOHNSON & JOHNSON COMMON STOCK 478160104 845 9050 SH SOLE 0 0 0 9050 JPMORGAN CHASE & CO ALERIAN ML ETN COMMON STOCK 46625H365 1253 41229 SH SOLE 0 0 0 41229 KINDER MORGAN INC DEL COMMON STOCK 49456B101 295 10658 SH SOLE 0 0 0 10658 LABORATORY CORP AMER HLDGS COM NEW 50540R409 295 2716 SH SOLE 0 0 0 2716 MICRON TECHNOLOGY INC COMMON STOCK 595112103 206 13725 SH SOLE 0 0 0 13725 MYLAN LABORATORIES INC COMMON STOCK 595112103 399 9902 SH SOLE 0 0 0 9902 NORDSTORM INC COMMON STOCK 655664100 374 5214 SH SOLE 0 0 0 5214 NUVEEN QUALITY PFD INCOME FD COM SHS 67072C105 331 37852 SH SOLE 0 0 0 37852 PACCAR INC COMMON STOCK 693718108 266 5103 SH SOLE 0 0 0 5103 PEPSICO INC COMMON STOCK 713448108 339 3590 SH SOLE 0 0 0 3590 POWERSHARES ETF TRUST DYNA BUYBK ACH ETF 73935X286 2341 53468 SH SOLE 0 0 0 53468 POWERSHARES ETF TRUST DYN PHARM PORT ETF 73935X799 1799 27121 SH SOLE 0 0 0 27121 PPL CORP COMMON STOCK 69351T106 385 11703 SH SOLE 0 0 0 11703 PROCTOR & GAMBLE CO COMMON STOCK 742718109 345 4802 SH SOLE 0 0 0 4802 QUALCOMM INC COMMON STOCK 747525103 847 15755 SH SOLE 0 0 0 15755 RAYTHEON CO COM NEW 755111507 448 4104 SH SOLE 0 0 0 4104 RYDEX ETF TRUST GUG S&P MC400 PG ETF 78355W601 9779 79114 SH SOLE 0 0 0 79114 SCHLUMBERGER LTD COMMON STOCK 806857108 431 6244 SH SOLE 0 0 0 6244 SELECT SECTOR SPDR TR SBI CONS STPLS COMMON STOCK 81369Y308 5215 110506 SH SOLE 0 0 0 110506 SELECT SECTOR SPDR TR TECHNOLOGY COMMON STOCK 81369Y803 4415 111770 SH SOLE 0 0 0 111770 SELECT SECTOR SPDR TR SBI CONS DISCR COMMON STOCK 81369Y407 4887 65803 SH SOLE 0 0 0 65803 SELECT SECTOR SPDR TR SBI INT-FINL COMMON STOCK 81369Y605 4667 205941 SH SOLE 0 0 0 205941 SPDR SER TR SHT TRM HGH YLD COMMON STOCK 78468R408 4453 165278 SH SOLE 0 0 0 165278 SPDR SER TR BRCLYS 1-3MT ETF COMMON STOCK 78464A680 837 18328 SH SOLE 0 0 0 18328 SPDR SERIES TRUST S&P DIVID ETF ETF 78464A763 200 2775 SH SOLE 0 0 0 2775 SPDR SERIES TRUST S&P HOMEBUILD ETF 78464A888 4018 117376 SH SOLE 0 0 0 117376 ST JUDE MEDICAL INC COMMON STOCK 790849103 336 5323 SH SOLE 0 0 0 5323 THERMO FISHER SCIENTIFIC INC COMMON STOCK 883556102 282 2303 SH SOLE 0 0 0 2303 TYSON FOODS INC CL A COMMON STOCK 902494103 354 8203 SH SOLE 0 0 0 8203 UNITED PARCEL SERVICE INC CL B COMMON STOCK 911312106 371 3761 SH SOLE 0 0 0 3761 VANGUARD INDEX FDS REIT ETF 922908553 4194 55522 SH SOLE 0 0 0 55522 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 14723 83789 SH SOLE 0 0 0 83789 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD ETF 92206C409 10520 131984 SH SOLE 0 0 0 131984 VANGUARD BD INDEX FD INC TOTAL BND MRKT ETF 921937835 6832 83385 SH SOLE 0 0 0 83385 VANGUARD INDEX FDS TOTAL STK MKT ETF 922908769 542 5491 SH SOLE 0 0 0 5491 VENTAS INC COMMON STOCK 92276F100 637 11355 SH SOLE 0 0 0 11355 VERIZON COMMUNICATIONS INC COMMON STOCK 92343V104 591 13576 SH SOLE 0 0 0 13576 DISNEY WALT CO COMMON STOCK 254687106 539 5273 SH SOLE 0 0 0 5273