Stacey L. Zwicker

UNITED CAPITAL FINANCIAL ADVISORS

HONOLULU, HI

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CRD#: 2131877

Professional summary

Stacey L Zwicker, who also goes by Stacey Marie Lau, Stacey Lau, Stacey Lau Welsh, Stacey Marie Welsh, Stacey Lau Zwicker, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Honolulu, Hawaii.

Stacey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Stacey has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stacey Marie Lau | Stacey Lau | Stacey Lau Welsh | Stacey Marie Welsh | Stacey Lau Zwicker

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) - RIA

Click below to view Stacey L Zwicker's CRS (Customer Relationship Summary).

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

September 10, 2010 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #2: 500 Ala Moana Blvd Ste 7400, Honolulu, HI 96813

RIA

CRD#: 134600

HONOLULU, HI

Past

November 1, 2017 - December 11, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MILL VALLEY, CA

Past

January 5, 2011 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

MEMPHIS, TN

Past

June 9, 2009 - December 31, 2010

SOVEREIGN WEALTH MANAGEMENT INC

RIA

CRD#: 109024

MEMPHIS, TN

Past

July 2, 2007 - January 9, 2009

BNY MELLON SECURITIES CORPORATION

CRD#: 231

SAN FRANCISCO, CA

Past

May 15, 2006 - July 2, 2007

MBSC, LLC

CRD#: 42430

NEW YORK, NY

Past

August 20, 2002 - January 8, 2004

ALLIANCEBERNSTEIN L.P.

RIA

CRD#: 108477

SAN FRANCISCO, CA

Past

August 20, 2002 - January 8, 2004

SANFORD C. BERNSTEIN & CO., LLC

CRD#: 104474

NASHVILLE, TN

Past

March 5, 2001 - July 16, 2001

EAINVEST SECURITIES, INC.

CRD#: 104370

SAN RAMON, CA

Past

December 18, 1998 - August 19, 1999

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 2, 1991 - December 18, 1998

CITICORP SECURITIES, INC.

CRD#: 7474

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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

California
(9/10/2010)

IAR

Hawaii
(9/10/2010)

IAR

Tennessee
(1/19/2023)

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: 10/3/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/23/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/4/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/1/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/28/2000

General Securities Principal Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Stacey L. Zwicker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacey L Zwicker's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

SOVEREIGN WEALTH MANAGEMENT INC

BNY MELLON SECURITIES CORPORATION

MBSC, LLC

ALLIANCEBERNSTEIN L.P.

SANFORD C. BERNSTEIN & CO., LLC

EAINVEST SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP SECURITIES, INC.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2002

Series 63

Date: 6/23/1995

SIE

Date: 10/1/2018

Series 31

Date: 10/4/2002

Series 7

Date: 5/1/1991

Series 24

Date: 11/28/2000

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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