Stacia J. Houston
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Stacia Jo Houston, who also goes by Stacey Jo Houston, Stacey Houston, was a registered financial professional .
Stacia is a previously registered financial professional and started their career in finance in 1984. Stacia had worked at 5 firms and has passed the Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2019 - May 17, 2019
LITMAN GREGORY WEALTH MANAGEMENT, LLC
July 24, 2007 - January 16, 2019
WELZ FINANCIAL SERVICES, INC.
March 4, 2002 - October 30, 2007
BOWMAN & COMPANY, LLP
September 27, 1994 - April 4, 1995
WELLS FARGO SECURITIES INC.
May 25, 1984 - September 7, 1994
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
LITMAN GREGORY WEALTH MANAGEMENT, LLC
CRD#: 107611 / SEC#: 801-50916
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 12/30/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LITMAN GREGORY WEALTH MANAGEMENT, LLC
CRD#: 107611 / SEC#: 801-50916
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,975 |
| AUM (Assets Under Management) | $ 2,678,342,739 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/05/2025 | ||
| 10/30/2023 | ||
| 01/30/2023 |
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.
