Stephen K. Cook

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CRD#: 1204467

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.

Stephen Kelly Cook, who also goes by Steve Cook, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1984. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Cook

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.

1)BROKERAGE LIFE & FIXED ANNUITY;INVESTMENT RELATED;15660 N. DALLAS PKWY, #910, DALLAS, TX75248;LIFE & FIXED ANNUITIES;10/1/2010;2 HRS/MONTH;0 HRS DURING TRADING;LIFE & FIXED ANNUITIES 2)CFWS;NOT INVESTMENT RELATED;15660 N. DALLAS PARKWAY,SUITE 910,DALLAS,TX 75248;OTHER EXPENSE SHARES;PRESIDENT;3/1/2010;4 HRS/MONTH;0 HRS DURING TRADING;PAY BILLS FOR OFFICE & PROCURE SUPPLIES 3)INDIVIDUAL HEALTH INS & GROUP;NOT INVESTMENT RELATED;15660 N. DALLAS PARKWAY,SUITE 910,DALLAS,TX 75248;HEALTH INS.(IND & GROUP);10/1/2010;2 HRS/MONTH;0 HRS DURING TRADING;GROUP & INDIVIDUAL HEALTH INSURANCE 4)FULLCIRCLE WEALTH DBA;INVESTMENT RELATED;15660 NORTH DALLAS PARKWAY,SUITE 910,DALLAS,TX 75248;INVESTMENT/FINANCIAL PLANNING;FINANCIAL ADVISORY;3/2013;20 HRS/WK;4 HRS PER TRADING DAY;INVESTMENT PLANNING,MUTUAL FUNDS,ANNUITIES,GENERAL SECURITIES 5)8-Plex Apartments; investment related; 5900 Oram St, Dallas, TX 75206; rental investment, apartments; owner/investor;10/2003;10 hrs/month;1-2 hrs/week during trading; own 8-plex apartment building, manage tenancy and repairs 6)FullCircle Wealth;investment related;15660 N Dallas Parkway,Suite 910,Dallas,TX 75248;financial planning and investment management;financial advisor;6/2021;80 hrs/month;4 hrs during trading;maintaining client relationships,participate in client reviews

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 16, 2021 - March 6, 2023

FULLCIRCLE WEALTH LLC

RIA

CRD#: 166695

DALLAS, TX

Past

March 13, 2013 - August 6, 2021

TRIAD ADVISORS LLC

RIA

CRD#: 25803

DALLAS, TX

Past

March 13, 2013 - May 3, 2022

TRIAD ADVISORS LLC

CRD#: 25803

DALLAS, TX

Past

January 24, 2006 - March 14, 2013

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

DALLAS, TX

Past

January 24, 2006 - March 14, 2013

INVEST FINANCIAL CORPORATION

CRD#: 12984

DALLAS, TX

Past

June 20, 2002 - January 26, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

June 1, 1998 - January 26, 2006

OSAIC FA, INC.

RIA

CRD#: 3978

DALLAS, TX

Past

June 1, 1998 - January 26, 2006

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

January 1, 1984 - June 1, 1998

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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".

FULLCIRCLE WEALTH LLC

CRD#: 166695 / SEC#: 801-121913

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

California

Registered Investment Advisory firm - (9/24/2021 Terminated)

Georgia

Registered Investment Advisory firm - (9/10/2021 Terminated)

Nevada

Registered Investment Advisory firm - (10/15/2021 Terminated)

Oklahoma

Registered Investment Advisory firm - (12/18/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/25/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 12/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/9/1997

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 4/9/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 12/28/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FULLCIRCLE WEALTH LLC

CRD#: 166695 / SEC#: 801-121913

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

California

Registered Investment Advisory firm - (9/24/2021 Terminated)

Georgia

Registered Investment Advisory firm - (9/10/2021 Terminated)

Nevada

Registered Investment Advisory firm - (10/15/2021 Terminated)

Oklahoma

Registered Investment Advisory firm - (12/18/2018 Terminated)

Texas

Registered Investment Advisory firm - (8/25/2021 Terminated)

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Contact information

Main Address

6950 Tpc Drive Suite 110, Mckinney, TX 75070

Mailing Address

Phone number

(972) 480-6200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,702
AUM (Assets Under Management)	$ 393,537,210

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.

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Advisor Monitoring

Firm Stability Insights

Stephen K. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

FULLCIRCLE WEALTH LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/28/1983

SIE

Date: 10/1/2018

Series 7

Date: 12/9/1997

Series 22

Date: 4/9/1984

Series 6

Date: 12/28/1983

Current Firm

FULLCIRCLE WEALTH LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FULLCIRCLE WEALTH LLC

TRUST BUT VERIFY

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