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Wynette B. Stuntz

Some features on this profile are disabled
CRD#: 1733929
WS

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.

Wynette Brewer Stuntz, who also goes by Emma Stuntz, was a registered financial professional .

Wynette is a previously registered financial professional and started their career in finance in 1987. Wynette had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Emma Stuntz

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

November 4, 2005 - November 9, 2021

NEAL FINANCIAL GROUP, L.P.

RIA
CRD#: 124112
HOUSTON, TX
Past

February 12, 2004 - October 7, 2005

HOUSTON ADVISORS

RIA
CRD#: 119704
HOUSTON, TX
Past

January 23, 2004 - August 29, 2019

LPL FINANCIAL LLC

RIA
CRD#: 6413
HOUSTON, TX
Past

January 23, 2004 - August 29, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
HOUSTON, TX
Past

November 1, 2001 - January 26, 2004

STANFORD GROUP COMPANY

RIA
CRD#: 39285
HOUSTON, TX
Past

November 1, 2001 - January 26, 2004

STANFORD GROUP COMPANY

BD
CRD#: 39285
HOUSTON, TX
Past

February 3, 1999 - November 2, 2001

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

May 19, 1992 - February 4, 1999

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

July 12, 1990 - May 19, 1992

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774
Past

November 19, 1989 - September 10, 1990

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

February 2, 1988 - July 25, 1991

1717 CAPITAL MANAGEMENT COMPANY

BD
CRD#: 4082
NEWARK, DE
Past

December 2, 1987 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

BD
CRD#: 6403

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
RR
Series 63
Date: 12/9/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/30/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/4/1999
General Securities Principal Examination

Current Firm

NF
NEAL FINANCIAL GROUP, L.P.
NEAL FINANCIAL GROUP, L.P.

CRD#: 124112 / SEC#:

Texas
Registered Investment Advisory firm - (3/19/2003 Approved)
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Contact information

Main Address
19710 Fm 2920 Rd, Tomball, TX 77377
Mailing Address
Phone number
(713) 880-5337
Established
Firm type
Fiscal year end
# of Employees
6

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.

Company Information

NEAL FINANCIAL GROUP, L.P.

CRD#: 124112

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