Stephanie C. Whiston

WHISTON ASSET MANAGEMENT

New York City, NY 10022

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CRD#: 1592958

Professional summary

Stephanie Carmel Whiston is a registered financial advisor currently at WHISTON ASSET MANAGEMENT located in New York City, New York.

Stephanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Stephanie has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 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.

1.Stephanie Whiston Founding Director Marine Education Foundation Charitable Organization Non Investment Related P.O. Box 1144, Montauk, NY 11954 Start date 2013 12-18 hours Non Securities hours Marine Educational Programs and Fundraising 2. Whiston Advisors Consulting, Insurance and Mediation Services P.O. Box 1144, Montauk, NY 11954 Non Securities Management Services Since 1989 12-18 hours Non Securities Trading hours Provide Non Securities related services as an Insurance agent, or mediation for disputes, or services such as Nominee

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Carmel Whiston's 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 31, 2022 - Present

WHISTON ASSET MANAGEMENT

Office #1: 445 Park Ave. 9th Floor, New York City, NY 10022

RIA

CRD#: 118691

New York City, NY

Past

November 28, 2001 - August 15, 2017

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

CRD#: 44357

CROTON-ON-HUDSON, NY

Past

September 19, 2000 - December 19, 2005

WHISTON ASSET MANAGEMENT

RIA

CRD#: 118691

NEW YORK, NY

Past

August 5, 1997 - November 17, 1999

ASSET MANAGEMENT SERVICES GROUP, INC.

CRD#: 40701

MANASQUAN, NJ

Past

April 13, 1995 - April 25, 1997

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 14, 1993 - April 25, 1995

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 27, 1991 - May 26, 1993

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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

New York
(1/31/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/29/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/15/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 9/4/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

WHISTON ASSET MANAGEMENT

ASSET MANAGEMENT | WHISTON ASSET MANAGEMENT GROUP, INC | WHISTON ASSET MANAGEMENT | WHISTON ADVISORS

CRD#: 118691 / SEC#:

Florida

Registered Investment Advisory firm - (12/19/2005 Terminated)

New Jersey

Registered Investment Advisory firm - (11/6/2003 Terminated)

New York

Registered Investment Advisory firm - (10/18/1999 Approved)

Texas

Registered Investment Advisory firm - (11/4/2004 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).

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Contact information

Main Address

445 Park Ave. 9th Floor, New York City, NY 10022

Mailing Address

73 So Euclid Ave #1144, Montauk, NY 11954

Phone number

(212) 717-0557

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 17,993,777

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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Stephanie C. Whiston

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Carmel Whiston's CRS (Customer Relationship Summary).

Certified licenses

Experience

HUDSON HERITAGE CAPITAL MANAGEMENT, INC.

WHISTON ASSET MANAGEMENT

ASSET MANAGEMENT SERVICES GROUP, INC.

CIBC WORLD MARKETS CORP.

J.P. MORGAN SECURITIES LLC

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/29/1996

Series 63

Date: 8/27/1991

SIE

Date: 8/15/2017

Series 7

Date: 8/20/1991

Series 26

Date: 9/4/1997

Current Firm

WHISTON ASSET MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WHISTON ASSET MANAGEMENT

TRUST BUT VERIFY

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