Stephanie J. Curry

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CRD#: 1639242

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.

Stephanie Jean Curry, CFP® was a registered financial professional .

Stephanie is a previously registered financial professional and started their career in finance in 1987. Stephanie had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

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 JEAN CURRY - AGENT - SALE OF MEDICARE SUPPLEMENTS - SANTA ROSA, CA - SINCE 09/2016 - IjNVESTMENT RELATED 2.) BY THE RIVER PROPERTIES, LLC - OWNER - REAL ESTATE SALES/RENTAL PROPERTIES/PROPERTY MANAGEMENT - SPRINGVALE, ME - SINCE 08/2006 - INVESTMENT RELATED

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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Past

February 2, 2022 - January 21, 2023

BY THE RIVER CONSULTING, LLC

RIA

CRD#: 318356

Springvale, ME

Past

October 8, 2019 - January 16, 2020

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

WALNUT CREEK, CA

Past

October 8, 2019 - January 16, 2020

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

WALNUT CREEK, CA

Past

March 21, 2018 - June 11, 2018

COLONY PARK FINANCIAL SERVICES LLC.

RIA

CRD#: 41534

Santa Rosa, CA

Past

March 20, 2018 - June 11, 2018

SANDLAPPER SECURITIES, LLC

CRD#: 137906

GREENVILLE, SC

Past

May 23, 2017 - March 16, 2018

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

Sacramento, CA

Past

May 22, 2017 - March 16, 2018

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

Sacramento, CA

Past

January 27, 2017 - June 22, 2017

CHESS FINANCIAL PLANNING LLC

RIA

CRD#: 285228

SANTA ROSA, CA

Past

July 15, 2004 - January 24, 2006

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

RIA

CRD#: 104790

NEWPORT BEACH, CA

Past

June 27, 1996 - July 7, 2016

PACIFIC SELECT DISTRIBUTORS, LLC

CRD#: 4452

NEWPORT BEACH, CA

Past

September 8, 1994 - March 22, 1996

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

May 28, 1993 - July 21, 1994

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

December 24, 1987 - June 7, 1993

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

HARTFORD, CT

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/18/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/11/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/22/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/29/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 4/7/1999

Investment Company Products/Variable Contracts Principal Examination

Current Firm

BY THE RIVER CONSULTING, LLC

CRD#: 318356 / SEC#:

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Contact information

Main Address

Springvale, ME

Mailing Address

Phone number

(707) 483-8307

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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

Stephanie J. Curry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

COLONY PARK FINANCIAL SERVICES LLC.

SANDLAPPER SECURITIES, LLC

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

CHESS FINANCIAL PLANNING LLC

ASSOCIATED PLANNERS INVESTMENT ADVISORY INC

PACIFIC SELECT DISTRIBUTORS, LLC

OSAIC FS, INC.

MML INVESTORS SERVICES, LLC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/2002

Series 63

Date: 7/14/1993

SIE

Date: 6/11/2018

Series 6

Date: 12/22/1987

Series 51

Date: 3/29/2003

Series 26

Date: 4/7/1999

Current Firm

BY THE RIVER CONSULTING, LLC

Contact information

Documents

Red Flags

Company Information

BY THE RIVER CONSULTING, LLC

TRUST BUT VERIFY

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