STACIE A. MOOKAS
HIGHTOWER SECURITIES | Executive Director Operations & Administration
Westport, CT 06880
Some features on this profile are disabled
CRD#: 2064120
Professional summary
STACIE ANN MOOKAS, who also goes by Stacie Ann Sweeney, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Westport, Connecticut.
STACIE is registered as a RR (Registered Representative) and started their career in finance in 2008. STACIE has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Biography
Stacie Mookas is the Executive Director of Operations and Administration at RDM Financial Group. She leads operations and administrative efforts, including client services. Stacie is also responsible for setting up accounts and tracking fund transfers and disbursements.
Prior to RDM Financial Group, Stacie worked for Raymond James & Associates’ home office in St Petersburg, Florida, where she provided operations support and training for all of the Raymond James branches throughout the country.
Stacie holds the Series 7, 24, 63 and 99 licenses.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stacie Ann Sweeney
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.
CRS (Client Relationship Summary) - BD
Click below to view STACIE ANN MOOKAS'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®
NoneExperience
Current
May 23, 2017 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 10 Wright Street First Floor, Westport, CT 06880BD
CRD#: 116681
Westport, CT
Past
November 6, 2008 - August 7, 2017
RDM INVESTMENT SERVICES, LLC
BD
CRD#: 104266
WESTPORT, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Connecticut(5/23/2017)
RR
Florida(5/23/2017)
RR
New Mexico(1/2/2025)
RR
New York(1/6/2021)
RR
Ohio(1/2/2025)
RR
Oregon(1/2/2025)
RR
Texas(1/2/2025)
RR
Washington(1/2/2025)
RR
Wisconsin(1/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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
HIGHTOWER SECURITIES, LLC
Executive Director Operations & AdministrationCRD#: 116681Westport, CT 06880TRUST BUT VERIFY
Monitor STACIE MOOKAS
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
