April D. Pica

TRANQUILITY PARTNERS

Brentwood, TN 37027

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CRD#: 2850513

Professional summary

April Dawn Pica, who also goes by April Dawn Stoltz, is a registered financial advisor currently at TRANQUILITY PARTNERS, LLC located in Brentwood, Tennessee.

April is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. April has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

April Dawn Stoltz

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) - RIA

Click below to view April Dawn Pica'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

September 26, 2016 - Present

TRANQUILITY PARTNERS, LLC

Office #1: 5214 Maryland Way Suite 405, Brentwood, TN 37027

RIA

CRD#: 283478

Brentwood, TN

Past

September 4, 2001 - May 17, 2016

AVONDALE PARTNERS, LLC

CRD#: 46838

NASHVILLE, TN

Past

December 15, 1998 - July 31, 2001

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

December 4, 1997 - December 16, 1998

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

March 13, 1997 - April 17, 1997

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

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".

TRANQUILITY PARTNERS, LLC

CRD#: 283478 / SEC#: 801-113232

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Tennessee

Registered Investment Advisory firm - (5/30/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2018 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

Tennessee
(9/26/2016)

IAR

Texas
(4/28/2017)

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: 9/26/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/28/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/17/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 5/2/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/26/1997

General Securities Representative Examination

Current Firm

TRANQUILITY PARTNERS, LLC

CRD#: 283478 / SEC#: 801-113232

RIA

Registered Investment Advisory firm - (5/14/2018 Approved)

Tennessee

Registered Investment Advisory firm - (5/30/2018 Terminated)

Texas

Registered Investment Advisory firm - (5/16/2018 Terminated)

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Contact information

Main Address

5214 Maryland Way Suite 405, Brentwood, TN 37027

Mailing Address

Phone number

(615) 432-5370

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-TRANQUILITY PARTNERS, LLC (1/22/2025)

Regulatory assets under management

Total Number of Accounts	859
AUM (Assets Under Management)	$ 685,425,804

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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Firm Stability Insights

April D. Pica

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view April Dawn Pica's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVONDALE PARTNERS, LLC

TRUIST SECURITIES, INC.

INVEST FINANCIAL CORPORATION

BIRCHTREE FINANCIAL SERVICES LLC

Primary Firm SEC Registration

TRANQUILITY PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/26/2016

Series 63

Date: 2/28/1997

SIE

Date: 5/17/2016

Series 55

Date: 5/2/2007

Series 7

Date: 2/26/1997

Current Firm

TRANQUILITY PARTNERS, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRANQUILITY PARTNERS, LLC

TRUST BUT VERIFY

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