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SI

Stacy K. Ito

Some features on this profile are disabled
CRD#: 2338481
SI

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.

Stacy Kim Ito MS., who also goes by Stacy Myong Kim Ito, Myong Cha Kim, Stacy Myong Kim, was a registered financial professional .

Stacy is a previously registered financial professional and started their career in finance in 1993. Stacy had worked at 2 firms and has passed the Series 63, Series 22 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stacy Myong Kim Ito | Myong Cha Kim | Stacy Myong Kim

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 14, 2007 - April 30, 2008

WELTON STREET INVESTMENTS LLC

BD
CRD#: 132111
ENGLEWOOD, CO
Past

June 22, 1993 - February 17, 1994

PRUCO SECURITIES, LLC.

BD
CRD#: 5685

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: 5/26/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22
Date: 11/13/2007
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/22/1993
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WS
WELTON STREET INVESTMENTS LLC
WELTON STREET INVESTMENTS LLC

CRD#: 132111 / SEC#: , 8-66557

BD
Terminated by SEC on 07/31/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Colorado since 03/01/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
WELTON STREET INVESTMENTS GROUP LLCMEMBER
DANIELS, CRYSTAL MFINOP5503968
QUAM, MARK DONOVANPRESIDENT, CEO AND CCO2336106

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

WELTON STREET INVESTMENTS LLC

CRD#: 132111

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