Stephanie I. Blakes

SEREN WEALTH ADVISORS

Houston, TX

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CRD#: 3083697

Professional summary

Stephanie Irving Blakes, CFP®, who also goes by Stephanie I. Blakes, Stephanie I Blakes, Stephanie Anne Irving, is a registered financial advisor currently at SEREN WEALTH ADVISORS, LLC located in Houston, Texas and CALDERWOOD FINANCIAL STRATEGIES, INC. located in Houston, Texas.

Stephanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stephanie has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephanie I. Blakes | Stephanie I Blakes | Stephanie Anne Irving

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: Stephanie Blakes. Investment-Related: No. Address: Houston, TX. Nature: Insurance Sales. Position: Insurance Agent. Start Date: 2/2013. Approximate Hours/Month: 10-15; Hours/Month During Securities Trading Hours: 5-10. Duties: Sales and service of insurance products for multiple carriers. 2. Name: Champions Real Estate Group. Investment-Related: No. Address: Houston, TX. Nature: Real Estate Sales. Position: Real Estate Broker, Independent Contractor. Start Date: 7/2011. Approximate Hours/Month: 5. Hours/Month During Securities Trading Hours: <5. Duties: Assist clients with purchase of residential real estate on limited basis. 3. Calderwood Financial Strategies, Inc. Investment-Related: Yes. Address: Houston, TX. Nature: Financial. Position: Investment Adviser Representative, Independent Contractor. Start Date: 4/2022. Approximate Hours/Month: 20-30. Hours/Month During Securities Trading Hours: 15-25. Duties: Provide financial planning and investment advisor services to clients; administrative support to firm. 4. Seren Wealth Advisors, LLC. Investment-Related: Yes. Address: Houston, TX. Nature: Financial. Position: Owner, CCO, Investment Adviser Representative. Start Date: 1/2016. Approximate Hours/Month: 120-140. Hours/Month During Securities Trading Hours: 100-120. Duties: Provide financial planning and investment management services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Irving Blakes'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: 2014

Experience

Current

March 9, 2016 - Present

SEREN WEALTH ADVISORS, LLC

RIA

CRD#: 282770

Houston, TX

Current

April 13, 2022 - Present

CALDERWOOD FINANCIAL STRATEGIES, INC.

Office #1: 8556 Katy Freeway Suite 108, Houston, TX 77024

RIA

CRD#: 313466

Houston, TX

Past

May 22, 2013 - March 17, 2016

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

HOUSTON, TX

Past

May 2, 2013 - March 10, 2016

WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.

RIA

CRD#: 119127

HOUSTON, TX

Past

April 4, 2013 - March 17, 2016

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

HOUSTON, TX

Past

September 7, 2000 - March 19, 2003

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

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".

CALDERWOOD FINANCIAL STRATEGIES, INC.

CRD#: 313466 / SEC#: 801-120801

RIA

Registered Investment Advisory firm - (4/15/2021 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

Louisiana
(12/9/2019)

IAR

Texas
(3/9/2016)

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 66

Date: 4/8/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 3/17/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/3/2013

General Securities Representative Examination

Current Firm

CALDERWOOD FINANCIAL STRATEGIES, INC.

CRD#: 313466 / SEC#: 801-120801

RIA

Registered Investment Advisory firm - (4/15/2021 Approved)

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Contact information

Main Address

510 Bering Drive Suite 540, Houston, TX 77057

Mailing Address

Phone number

(832) 821-2462

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CALDERWOOD PART 2A (2/17/2025)

Regulatory assets under management

Total Number of Accounts	69
AUM (Assets Under Management)	$ 216,367,000

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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Stephanie I. Blakes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Irving Blakes's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALDERWOOD FINANCIAL STRATEGIES, INC.

HORNOR, TOWNSEND & KENT, LLC

WEALTH DEVELOPMENT STRATEGIES INVESTMENT ADVISORY, INC.

HORNOR, TOWNSEND & KENT, LLC

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

CALDERWOOD FINANCIAL STRATEGIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/8/2013

SIE

Date: 3/17/2016

Series 7

Date: 4/3/2013

Current Firm

CALDERWOOD FINANCIAL STRATEGIES, INC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CALDERWOOD FINANCIAL STRATEGIES, INC.

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