TS
Troy L. Stine
PROSPERITY CAPITAL ADVISORS
Lake Charles, LA 70601
Some features on this profile are disabled
CRD#: 3199358
TS
Professional summary
Troy Lane Stine, who also goes by Troy Stine, is a registered financial advisor currently at PROSPERITY CAPITAL ADVISORS located in Lake Charles, Louisiana.
Troy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Troy has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Troy Stine
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) Mr. Stine is a licensed insurance agent. In this capacity, he may offer fixed insurance products including but not to limited life insurance, annuities, disability insurance, long term care insurance and Medicare supplements and receives normal and customary commissions as a result of any sales. In addition, he may receive other compensation such as fixed life trails. Mr. Stine spends approx. 10 hrs/week during trading hours on this activity. (2) TERRE SAINTE LLC; 800 RYAN STREET SUITE 200, LAKE CHARLES, LA 70601; PARTNER; 2014; NON-INVESTMENT RELATED; SUB DIVISION DEVELOPMENT; 6 HRS/MONTH; 0 HRS/MONTH DURING TRADING HOURS; BUSINESS DECISION. (3) JACKSON WILLSON LLC; 800 RYAN STREET SUITE 200, LAKE CHARLES, LA 70601; PARTNER; 2013; NON-INVESTMENT RELATED; RENTAL PROPERTY; 6 HRS/MONTH, 0 HRS/MONTH DURING TRADING HOURS; PARTNER. (4) AMERICAN FINANCIAL EDUCATION ALLIANCE (AFEA); START DATE 07/15/2022; 800 RYAN STREET SUITE 200, LAKE CHARLES, LA 70601; CHAPTER PRESIDENT; INVEST RELATED FOR EDUCATIONAL PURPOSES; TEACHING CLASSES @ SOWELLA TECH COLLEGE ABOUT FINANCIAL PLANNING; 10 HRS PER MONTH, 6 DURING TRADING HRS; TEACHING FINANCIAL PLANNING UTILIZING AFEA MATERIAL. (5) The Stine Group, LLC; Not investment related; 800 Ryan St, Ste 200; Lake Charles, LA 70601; Accounting; Manager; Tax Preparation; 12 hrs./mo., 12 hrs./mo. during trading. (6) Troy Stine is an instructor for the Society of Financial Awareness (SOFA) which is a 501c3 providing financial education classes in the Lake Charles, LA area. There is no product sales mentioned during these seminars. Mr. Stine spends approximately four to eight hours per month on this activity. (7) Troy Stine is the Owner of Stine Tax & Wealth Planning, LLC which is the operating entity for Mr. Stine's advisory, tax and insurance business. Mr. Stine spends approximately forty hours per week during trading hours working under this entity. (8) Troy Stine is a board member of the City of Lake Charles Alcohol Review Board. In this role Mr. Stine oversees application issuance and renewal or revocation for alcohol sales within Lake Charles, LA. Mr. Stine spends approximately 3 hours per week during trading hours. This is not an investment related activity.
CRS (Client Relationship Summary) - RIA
Click below to view Troy Lane Stine's 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®
NoneExperience
Current
October 24, 2023 - Present
PROSPERITY CAPITAL ADVISORS
Office #1: 800 Ryan Street, Suite 200, Lake Charles, LA 70601Office #2: 969 Coolidge Street Suite 116, Lafayette, LA 70503RIA
CRD#: 156480
Lake Charles, LA
Past
June 11, 2014 - October 24, 2023
J. W. COLE ADVISORS, INC.
RIA
CRD#: 112294
LAKE CHARLES, LA
Past
June 11, 2014 - October 24, 2023
J.W. COLE FINANCIAL, INC.
BD
CRD#: 124583
LAKE CHARLES, LA
Past
July 2, 2012 - July 24, 2014
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LAKE CHARLES, LA
Past
November 19, 2010 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
LAKE CHARLES, LA
Past
November 19, 2010 - July 21, 2014
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LAKE CHARLES, LA
Past
January 7, 2008 - November 24, 2010
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
LAKE CHARLES,, LA
Past
January 7, 2008 - November 24, 2010
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
LAKE CHARLES,, LA
Past
December 20, 2007 - January 10, 2008
CETERA ADVISORS LLC
RIA
CRD#: 10299
LAKE CHARLES, LA
Past
December 6, 2007 - January 10, 2008
CETERA ADVISORS LLC
BD
CRD#: 10299
LAKE CHARLES, LA
Past
June 14, 2007 - October 31, 2007
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
LAKE CHARLES, LA
Past
October 28, 2005 - October 31, 2007
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
LAKE CHARLES, LA
Past
January 29, 2002 - October 28, 2005
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
July 27, 2001 - February 1, 2002
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
July 23, 1999 - July 10, 2001
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 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(10/24/2023)
IAR
Texas(10/25/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PC
PROSPERITY CAPITAL ADVISORS
C2P CAPITAL ADVISORY GROUP, LLC | WEALTH LOGIC SOLUTIONS | UNITED FINANCIAL SOLUTIONS | THE SMITH GROUP TAX & WEALTH ADVISORS | THE JL SMITH GROUP | THE CHAMBERLIN GROUP | PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
RIA
Registered Investment Advisory firm - (3/22/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
30400 Detroit Road Suite 201, Westlake, OH 44145
Mailing Address
Phone number
(888) 240-0064
Established
Firm type
Fiscal year end
# of Employees
202
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PROSPERITY CAPITAL ADVISORS
CRD#: 156480Lake Charles, LA 70601TRUST BUT VERIFY
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