Amy S. Born

SVB WEALTH

BEVERLY HILLS, CA 90212

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CRD#: 2640905

Professional summary

Amy Stacy Born, CFP®, CIMA®, who also goes by Amy Britten Stacy, is a registered financial advisor currently at SVB WEALTH located in Beverly Hills, California.

Amy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Amy has worked at 9 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Britten Stacy

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.

National Kappa Delta Sorority. This is a non-profit, national organization. 3205 Players Lane Memphis, TN 38125. Employee sits on the Investment Committee. Support the development of college women across the US.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Stacy Born'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: 1996

CIMA^®

Certified Investment Management Analyst

Experience

Current

September 12, 2018 - Present

SVB WEALTH

Office #1: 9465 Wilshire Blvd. Suite 800, Beverly Hills, CA 90212

RIA

CRD#: 172832

BEVERLY HILLS, CA

Past

January 14, 2022 - July 29, 2022

SVB INVESTMENT SERVICES INC.

RIA

CRD#: 168116

Santa Monica, CA

Past

July 14, 2016 - August 21, 2018

HIGHTOWER ADVISORS, LLC

RIA

CRD#: 145323

Beverly Hills, CA

Past

January 17, 2008 - November 14, 2016

ACACIA WEALTH ADVISORS, LLC

RIA

CRD#: 135044

BEVERLY HILLS, CA

Past

February 3, 2003 - November 6, 2007

STONE CARLIE WEALTH ADVISORS, LLC

RIA

CRD#: 124650

ST. LOUIS, MO

Past

March 21, 2000 - March 5, 2003

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA

CRD#: 110921

CLAYTON, MO

Past

July 29, 1998 - October 13, 1999

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

April 25, 1997 - April 28, 1997

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

August 21, 1995 - April 24, 1997

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 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
(9/12/2018)

IAR

Louisiana
(5/29/2024)

IAR

Texas
(5/21/2024)

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

IAR

Series 65

Date: 2/29/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/15/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/18/1995

General Securities Representative Examination

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	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.

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Advisor Monitoring

Firm Stability Insights

Amy S. Born

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Stacy Born's CRS (Customer Relationship Summary).

Certified licenses

Experience

SVB INVESTMENT SERVICES INC.

HIGHTOWER ADVISORS, LLC

ACACIA WEALTH ADVISORS, LLC

STONE CARLIE WEALTH ADVISORS, LLC

ERNST & YOUNG INVESTMENT ADVISERS LLP

VP DISTRIBUTORS LLC

FIRST UNION CAPITAL MARKETS CORP.

LPL FINANCIAL LLC

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 2/29/2000

Series 63

Date: 9/15/1995

Series 7

Date: 8/18/1995

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

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