AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
VS

Vincent J. Stefano

WWM FINANCIAL
Carlsbad, CA 92011
Some features on this profile are disabled
CRD#: 1036945
VS

Professional summary

Vincent Joseph Stefano, who also goes by VInce Stefano, is a registered financial advisor currently at WWM FINANCIAL located in Carlsbad, California.

Vincent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Vincent has worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Vince Stefano

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent Joseph Stefano's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 4, 2013 - Present

WWM FINANCIAL

Office #1: 2131 Palomar Airport Rd Suite 330, Carlsbad, CA 92011
RIA
CRD#: 157620
Carlsbad, CA
Past

January 1, 2012 - January 15, 2013

CROWELL, WEEDON & CO.

RIA
CRD#: 193
SAN DIEGO, CA
Past

November 23, 2011 - January 15, 2013

CROWELL, WEEDON & CO.

BD
CRD#: 193
SAN DIEGO, CA
Past

June 8, 1994 - July 1, 1997

FRED ALGER & COMPANY, LLC

BD
CRD#: 5300
NEW YORK, NY
Past

June 15, 1987 - March 4, 1994

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
NEW YORK, NY
Past

September 25, 1984 - February 3, 1987

NHP REAL ESTATE SECURITIES, INC.

BD
CRD#: 11207
Past

November 8, 1983 - September 6, 1984

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

March 25, 1982 - October 18, 1983

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WF
WWM FINANCIAL
SAVVY DOC FINANCIAL PLANNERS | WWM FINANCIAL INSURANCE SOLUTIONS LLC | WWM FINANCIAL | WOLFF WIESE MAGANA LLC | WOLFF WIESE MAGANA | SWWM | SCCWWM, LLC | SAVVY WOMEN WEALTH MANAGEMENT

CRD#: 157620 / SEC#: 801-72588

RIA
Registered Investment Advisory firm - (7/29/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(1/4/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/28/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/1/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/22/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/1/1994
Investment Company Products/Variable Contracts Principal Examination

Current Firm

WF
WWM FINANCIAL
SAVVY DOC FINANCIAL PLANNERS | WWM FINANCIAL INSURANCE SOLUTIONS LLC | WWM FINANCIAL | WOLFF WIESE MAGANA LLC | WOLFF WIESE MAGANA | SWWM | SCCWWM, LLC | SAVVY WOMEN WEALTH MANAGEMENT

CRD#: 157620 / SEC#: 801-72588

RIA
Registered Investment Advisory firm - (7/29/2011 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2131 Palomar Airport Rd. Suite 330, Carslbad, CA 92011
Mailing Address
Phone number
(760) 692-5190
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WWM - ADV PART 2A: FIRM BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts1,548
AUM (Assets Under Management)$ 342,090,884

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

WWM FINANCIAL

CRD#: 157620Carlsbad, CA 92011

TRUST BUT VERIFY

Monitor Vincent Stefano

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Contact information

xxxxx@xxxx.xxx

Similar Advisors

Alice Ruiz
Alice RuizAdvisorCheck Check Mark
SCHWAB WEALTH ADVISORY, INC.
IAR
RR
San Diego, CA
Nilay Eda Barefield
Nilay BarefieldAdvisorCheck Check Mark
CETERA INVESTMENT ADVISERS LLC
IAR
RR
San Diego, CA
Lorenzo Lucas
Lorenzo LucasAdvisorCheck Check Mark
J.P. MORGAN SECURITIES LLC
RR
La Jolla, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics