Stefano U. Fanfani

UNIWEALTH ADVISORS

Cutler Bay, FL

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CRD#: 1580599

Professional summary

Stefano Ubaldo Fanfani is a registered financial advisor currently at UNIWEALTH ADVISORS, INC. located in Cutler Bay, Florida and PORTFOLIO RESOURCES GROUP, INC. located in Coral Gables, Florida.

Stefano is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Stefano has worked at 7 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 4 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Stefano Ubaldo Fanfani'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

September 30, 2003 - Present

UNIWEALTH ADVISORS, INC.

RIA

CRD#: 138009

Cutler Bay, FL

Current

April 3, 2002 - Present

PORTFOLIO RESOURCES GROUP, INC.

Office #1: 4000 Ponce De Leon Blvd. Suite 670, Coral Gables, FL 33146

CRD#: 31155

Coral Gables, FL

Past

June 22, 2000 - March 6, 2002

TRADEPRO SECURITIES, LLC.

CRD#: 103781

LAWRENCEVILLE, GA

Past

February 3, 2000 - October 31, 2000

BRILL SECURITIES, INC.

CRD#: 18565

NEW YORK, NY

Past

September 4, 1998 - May 12, 2000

CARDINAL CAPITAL MANAGEMENT, INC.

CRD#: 24605

MIAMI, FL

Past

September 7, 1988 - September 16, 1989

CULVER & DUNN SECURITIES CORPORATION

CRD#: 21627

Past

June 17, 1987 - August 25, 1988

FIRST EQUITY CORPORATION OF FLORIDA

CRD#: 9

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".

UNIWEALTH ADVISORS, INC.

CRD#: 138009 / SEC#: 801-66275

RIA

Registered Investment Advisory firm - (2/28/2006 Approved)

Florida

Registered Investment Advisory firm - (3/6/2006 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.

IAR

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(5/29/2002)

IAR

Florida
(9/30/2003)

Georgia
(7/15/2022)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/9/2005

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/12/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/20/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/3/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/8/1999

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/29/1999

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/21/1988

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

UNIWEALTH ADVISORS, INC.

CRD#: 138009 / SEC#: 801-66275

RIA

Registered Investment Advisory firm - (2/28/2006 Approved)

Florida

Registered Investment Advisory firm - (3/6/2006 Terminated)

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Contact information

Main Address

Cutler Bay, FL

Mailing Address

Phone number

(305) 253-9333

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNIWEALTH ADVISORS INC (3/11/2026)

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 373,163,474

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

Stefano U. Fanfani

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stefano Ubaldo Fanfani's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNIWEALTH ADVISORS, INC.

PORTFOLIO RESOURCES GROUP, INC.

TRADEPRO SECURITIES, LLC.

BRILL SECURITIES, INC.

CARDINAL CAPITAL MANAGEMENT, INC.

CULVER & DUNN SECURITIES CORPORATION

FIRST EQUITY CORPORATION OF FLORIDA

Primary Firm SEC Registration

UNIWEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/2005

Series 65

Date: 4/12/2002

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 3/20/2000

Series 7

Date: 9/3/1998

Series 24

Date: 10/8/1999

Series 4

Date: 4/29/1999

Series 53

Date: 12/21/1988

FINRA

Current Firm

UNIWEALTH ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNIWEALTH ADVISORS, INC.

TRUST BUT VERIFY

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