Stephanie Wixted
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.
Stephanie Wixted, who also goes by Stephanie M Spindel, was a registered financial professional .
Stephanie is a previously registered financial professional and started their career in finance in 1993. Stephanie had worked at 8 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2012 - December 23, 2013
KB FINANCIAL PARTNERS, LLC
August 14, 2012 - August 20, 2013
M HOLDINGS SECURITIES, INC.
September 1, 2011 - January 12, 2012
VALIC FINANCIAL ADVISORS, INC.
September 1, 2011 - January 12, 2012
VALIC FINANCIAL ADVISORS, INC.
October 31, 2007 - May 2, 2011
CADARET, GRANT & CO., INC.
October 31, 2007 - May 2, 2011
CADARET, GRANT & CO., INC.
March 21, 2007 - November 1, 2007
SECURITIES AMERICA ADVISORS, INC.
December 16, 2003 - November 1, 2007
SECURITIES AMERICA, INC.
March 28, 2000 - October 22, 2003
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 21, 1993 - March 15, 2000
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
KB FINANCIAL PARTNERS, LLC
CRD#: 119166 / SEC#: 801-78199
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,175 |
| AUM (Assets Under Management) | $ 1,301,599,752 |
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.
