Stacey L. Rognon
Professional summary
Stacey Lee Rognon is a registered financial advisor currently at WESTPARK WEALTH ADVISORS, INC. located in Houston, Texas.
Stacey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stacey has worked at 3 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stacey Lee Rognon's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 13, 2004 - Present
WESTPARK WEALTH ADVISORS, INC.
Office #1: 13111 Westheimer Suite 475, Houston, TX 77077June 28, 2002 - December 31, 2004
IMS SECURITIES, INC.
June 28, 2002 - November 14, 2017
IMS SECURITIES, INC.
June 5, 2000 - July 11, 2002
MORGAN STANLEY DW INC.
May 3, 2000 - July 11, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
WESTPARK WEALTH ADVISORS, INC.
CRD#: 130914 / SEC#: 801-63009
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/12/2006)
(4/3/2006)
(5/13/2004)
Exams
Current Firm
WESTPARK WEALTH ADVISORS, INC.
CRD#: 130914 / SEC#: 801-63009
Contact information
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 700 |
| AUM (Assets Under Management) | $ 229,314,510 |
Red Flags
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