Stephen Wayne Wingard | Financial Professional | Heath, Texas | CSENGE ADVISORY GROUP, LLC

Professional summary

Stephen Wayne Wingard is a registered financial advisor currently at CSENGE ADVISORY GROUP, LLC located in Heath, Texas and MADISON AVENUE SECURITIES, LLC located in Dallas, Texas.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 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.) Name: Ridgeback Group; Address: 222 S. Church St., Ste. 407, Charlotte, NC 28202; Investment Related: Yes; Position: Member / Partner Firm; Hours Per Week: Less than one; Start Date: 01/2023; 2.) Name: The Wingard Group DBA Wayfinder Wealth; Address: 6301 Gaston Avenue, Suite 1125, Dallas, TX 75214; Investment Related: Yes; Position: Partner; Hours Per Week: 10 Hours; Start Date: 01/2018; 3.) Csenge Advisory Group; Address: 4755 E Bay Dr, Clearwater, FL 33764; Investment Related: Yes; Position: Investment Advisor Representative; Hours Per Week: 30 Hours; Start Date: 07/2022

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Wayne Wingard'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

August 4, 2021 - Present

CSENGE ADVISORY GROUP, LLC

RIA

CRD#: 131167

Heath, TX

Current

October 1, 2024 - Present

MADISON AVENUE SECURITIES, LLC

Office #1: 6301 Gaston Avenue #1125, Dallas, TX 75214

RIA

BD

CRD#: 23224

Dallas, TX

Past

April 13, 2017 - October 2, 2024

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

DALLAS, TX

Past

August 31, 2015 - December 31, 2016

IPS ADVISORS

RIA

CRD#: 172840

DALLAS, TX

Past

August 31, 2015 - October 2, 2024

LION STREET FINANCIAL, LLC

BD

CRD#: 165828

Dallas, TX

Past

June 4, 1996 - December 31, 2006

HFG ADVISORS, L.L.C.

RIA

CRD#: 110138

DALLAS, TX

Past

June 4, 1996 - September 3, 2015

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

DALLAS, TX

Past

June 3, 1996 - September 3, 2015

MML INVESTORS SERVICES, LLC

BD

CRD#: 10409

DALLAS, TX

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".

CA

CSENGE ADVISORY GROUP, LLC

CRD#: 131167 / SEC#: 801-72792

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

Florida

Registered Investment Advisory firm - (11/8/2011 Terminated)

Texas

Registered Investment Advisory firm - (11/15/2007 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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR

California
(10/1/2024)

RR

Colorado
(10/1/2024)

RR

Florida
(10/1/2024)

RR

Georgia
(4/21/2025)

RR

Louisiana
(10/1/2024)

RR

Maine
(10/1/2024)

RR

Minnesota
(10/1/2024)

RR

New Jersey
(10/1/2024)

RR

New Mexico
(10/1/2024)

RR

Pennsylvania
(10/1/2024)

RR

Rhode Island
(10/1/2024)

RR

South Carolina
(1/2/2025)

IAR

Texas
(8/4/2021)

RR

Texas
(10/1/2024)

RR

Utah
(10/1/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

RR

Series 63

Date: 6/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 9/2/2005

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 5/31/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

RR

FINRA

Current Firm

CA

CSENGE ADVISORY GROUP, LLC

CRD#: 131167 / SEC#: 801-72792

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

Florida

Registered Investment Advisory firm - (11/8/2011 Terminated)

Texas

Registered Investment Advisory firm - (11/15/2007 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).

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Contact information

Main Address

4755 East Bay Drive, Clearwater, FL 33764

Mailing Address

Phone number

(727) 437-6000

Established

Firm type

Fiscal year end

# of Employees

79

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAG WRAP FEE PROGRAM (3/25/2025)

CAG ADV PART 2 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	14,643
AUM (Assets Under Management)	$ 2,882,684,461

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

Stephen W. Wingard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Wayne Wingard's CRS (Customer Relationship Summary).

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

LION STREET ADVISORS, LLC

IPS ADVISORS

LION STREET FINANCIAL, LLC

HFG ADVISORS, L.L.C.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

CSENGE ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/1996

SIE

Date: 10/1/2018

Series 7

Date: 9/2/2005

Series 6

Date: 5/31/1996

FINRA

Current Firm

CSENGE ADVISORY GROUP, LLC

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CSENGE ADVISORY GROUP, LLC

TRUST BUT VERIFY

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