Trent D. Stiles

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CRD#: 1233913

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.

Trent Davis Stiles, who also goes by Trent D Stiles, Trent D. Stiles, was a registered financial professional .

Trent is a previously registered financial professional and started their career in finance in 1984. Trent had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Trent D Stiles | Trent D. Stiles

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)

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

March 28, 2008 - February 1, 2018

INSIGHT SECURITIES, INC.

CRD#: 5611

DENVER, CO

Past

June 13, 2005 - April 2, 2008

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

DENVER, CO

Past

July 1, 2004 - December 10, 2019

CHARLES EDWARD CAPITAL MANAGEMENT LLC

RIA

CRD#: 128116

DENVER, CO

Past

January 31, 2003 - June 13, 2005

ROUND HILL SECURITIES, INC.

CRD#: 35223

ALAMO, CA

Past

January 1, 1999 - February 14, 2003

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

DENVER, CO

Past

January 26, 1984 - February 14, 2003

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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".

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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

IAR

Series 66

Date: 7/18/2003

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/7/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/8/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/21/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/20/2003

General Securities Principal Examination

Current Firm

INSIGHT SECURITIES, INC.

CRD#: 5611 / SEC#: 801-12999, 8-16247

RIA

Registered Investment Advisory firm - SEC (5/25/1977 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

600 Central Ave Suite 293, Highland Park, IL 60035

Mailing Address

600 Central Ave Suite 293, Highland Park, IL 60035

Phone number

(224) 632-4700

Established

Delaware since 11/12/1970

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
INTELLIGENICS, INC.	HOLDING COMPANY/STOCKHOLDER
GAAFAR, OMAR JAMES	COO	4916775
KIM, JAMES J	CCO	6040592
LEGASPY, CARLOS JAVIER	PRINCIPAL, PRESIDENT, CEO	2148751
MAKULA, MICHAEL JOSEPH MR.	CFO, FINOP	4643441

Regulatory assets under management

Total Number of Accounts	48
AUM (Assets Under Management)	$ 94,216,934

Disclosures

Regulatory Event	6
Arbitration	1
Bond	5

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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Firm Stability Insights

Trent D. Stiles

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST ALLIED SECURITIES, INC.

CHARLES EDWARD CAPITAL MANAGEMENT LLC

ROUND HILL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

INSIGHT SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/18/2003

Series 63

Date: 2/7/1984

SIE

Date: 2/1/2018

Series 3

Date: 1/8/1987

Series 7

Date: 1/21/1984

Series 24

Date: 6/20/2003

Current Firm

INSIGHT SECURITIES, INC.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

INSIGHT SECURITIES, INC.

TRUST BUT VERIFY

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