Stefanie A. Morgan

NRG WEALTH MANAGEMENT

Oro Valley, AZ 85737

Some features on this profile are disabled

CRD#: 2178991

Professional summary

Stefanie Ann Morgan, CFP® is a registered financial advisor currently at NRG WEALTH MANAGEMENT located in Oro Valley, Arizona.

Stefanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Stefanie has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) No Business Name - Real Estate Rental - Investment Related - Home Based - Start OCT 2005 - 3 Hr/Mo; 0 Hour(s) During Securities Trading - I own rental properties in Richmond, VA. I manage tenants, contractors and lease renewals.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stefanie Ann Morgan'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®

CFP^®

Certified Financial Planner

Start date: 2016

Experience

Current

September 13, 2017 - Present

NRG WEALTH MANAGEMENT

Office #1: 12115 North Oracle Road Suite 151, Oro Valley, AZ 85737

RIA

CRD#: 289548

Oro Valley, AZ

Past

January 4, 2017 - January 2, 2018

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

ORO VALLEY, AZ

Past

April 4, 2011 - January 27, 2017

LPL FINANCIAL LLC

CRD#: 6413

ORO VALLEY, AZ

Past

April 8, 2005 - December 16, 2005

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

April 5, 2002 - February 9, 2005

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

RICHMOND, VA

Past

April 1, 1999 - March 8, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

June 1, 1998 - April 1, 1999

WACHOVIA CAPITAL MARKETS, INC.

CRD#: 44964

WINSTON SALEM, NC

Past

February 20, 1997 - June 1, 1998

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

October 29, 1993 - April 24, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 29, 1991 - October 22, 1993

J.P. MORGAN SECURITIES LLC

CRD#: 79

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".

NRG WEALTH MANAGEMENT

J. P. DAVIS, INC. | NRG WEALTH MANAGEMENT | NAVIGATION RETIREMENT GROUP

CRD#: 289548 / SEC#: 801-116690

RIA

Registered Investment Advisory firm - (5/28/2019 Approved)

Arizona

Registered Investment Advisory firm - (6/24/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(9/13/2017)

IAR

California
(9/2/2020)

IAR

Colorado
(4/17/2024)

IAR

Nebraska
(4/18/2024)

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

Series 63

Date: 5/23/2011

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 1/4/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 1/27/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/2011

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/26/1999

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

NRG WEALTH MANAGEMENT

J. P. DAVIS, INC. | NRG WEALTH MANAGEMENT | NAVIGATION RETIREMENT GROUP

CRD#: 289548 / SEC#: 801-116690

RIA

Registered Investment Advisory firm - (5/28/2019 Approved)

Arizona

Registered Investment Advisory firm - (6/24/2019 Terminated)

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

12115 North Oracle Road Suite 151, Oro Valley, AZ 85737

Mailing Address

Phone number

(520) 818-7822

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-NAVIGATION RETIREMENT GROUP (2/4/2025)

Regulatory assets under management

Total Number of Accounts	384
AUM (Assets Under Management)	$ 193,315,678

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.

Similar Advisors

Chad Lawyer

LIFE STRATEGY PARTNERS

IAR

TUCSON, AZ

Edward Carpenter

UNION CAPITAL COMPANY

IAR

Lake Placid, FL

Brian Mckeighen

FBL WEALTH MANAGEMENT, LLC

IAR

West Des Moines, IA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stefanie A. Morgan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stefanie Ann Morgan's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED CAPITAL FINANCIAL ADVISORS

LPL FINANCIAL LLC

BB&T INVESTMENT SERVICES, INC.

SCOTT & STRINGFELLOW, LLC

WACHOVIA SECURITIES, INC.

WACHOVIA CAPITAL MARKETS, INC.

WACHOVIA BROKERAGE SERVICE

UBS FINANCIAL SERVICES INC.

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

NRG WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 5/23/2011

Series 65

Date: 1/4/1994

SIE

Date: 1/27/2017

Series 7

Date: 4/1/2011

Series 8

Date: 7/26/1999

Current Firm

NRG WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NRG WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors