SC
Staci Chamberlain
Some features on this profile are disabled
CRD#: 3202644
SC
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Staci Chamberlain, CFP®, who also goes by Staci Booras, Staci Delnore, Staci Scharadin, was a registered financial professional .
Staci is a previously registered financial professional and started their career in finance in 1999. Staci had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Staci Booras | Staci Delnore | Staci Scharadin
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 OF OTHER BUSINESS: CWM, LLC INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: SEC REGISTERED INVESTMENT ADVISORY FIRM THAT PROVIDES PORTFOLIO MANAGEMENT, FINANCIAL PLANNING, ESTATE PLANNING, AND ADDITIONAL ADVISORY SERVICES. POSITION/TITLE/RELATIONSHIP: INVESTMENT ADVISORY REPRESENTATIVE START DATE: 10/2019 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: INVESTMENT ADVISORY REPRESENTATIVE (2) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 10/2019 APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE AND ANNUITIES (3) NAME OF OTHER BUSINESS: RUBY RE, LLC INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: COMMERCIAL REAL ESTATE OFFICE CONDO START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: MEMBER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: OWN THE PROPERTY JOINTLY, MANAGE THIS COMMERCIAL REAL ESTATE AND MANAGE THE FINANCES THEREOF (4) NAME OF OTHER BUSINESS: STACI CHAMBERLAIN INVESTMENT RELATED: NO ADDRESS: SALT LAKE CITY, UT NATURE OF BUSINESS: POA START DATE: 10/2018 POSITION/TITLE/RELATIONSHIP: POA FOR FAMILY MEMBER APX NUMBER OF HOURS PER WEEK: 1 PER MONTH APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: POA FOR FAMILY MEMBER (5) NAME OF OTHER BUSINESS: LEGACY PLANNING & INVESTMENT MGMT DBA DIAMOND WEALTH MANAGEMENT INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 09/2007 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OWNER / ADVISOR (6) NAME OF OTHER BUSINESS: LEGACY PLANNING & INVESTMENT MGMT DBA DIAMOND MAX INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: BUSINESS EXIT PLANNING START DATE: 08/2015 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 1 APX NUMBER OF HOURS DURING TRADING HOURS: 1 BRIEF DESCRIPTION OF DUTIES: ANALYSIS AND EXIT PLANNING STRATEGIES FOR BUSINESS OWNERS ; (7) NAME OF OTHER BUSINESS: DIAMOND DIABLO AZ LLC ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: REAL ESTATE POSITION/TITLE/RELATIONSHIP: OWNER ; START DATE: 09/2020 APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: REVIEW BOOKS SUBMITTED BY PROPERTY MGMT CO ; (8) NAME OF OTHER BUSINESS: DIAMOND FLAME NV LLC; INVESTMENT RELATED: NO; ADDRESS: 7850 W FLAMINGO UNIT 2141 LAS VEGAS, NV 89117; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 3/2021; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: REVIEW BOOKS SUBMITTED BY PROPERTY MANAGEMENT COMPANY; (9) NAME OF OTHER BUSINESS: 3519 FREMONT CONDO ASSOCIATION; INVESTMENT RELATED: NO; ADDRESS: 3519 N. FERMENT ST CHICAGO, IL 60657; NATURE OF BUSINESS: CONDO ASSOCIATION; START DATE: 6/2022; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: MANAGING ASSOCIATION, PAY BILLS , ASSEMBLE MEETINGS AND MINUTES;
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
April 15, 2020 - December 31, 2022
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LAS VEGAS, NV
Past
November 14, 2019 - May 24, 2023
CWM, LLC
RIA
CRD#: 155344
Las Vegas, NV
Past
October 18, 2019 - December 31, 2022
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
LAS VEGAS, NV
Past
January 30, 2015 - March 26, 2020
LAKESIDE WEALTH MANAGEMENT GROUP, LLC
RIA
CRD#: 140271
LAS VEGAS, NV
Past
January 2, 2013 - October 25, 2013
LAKESIDE WEALTH MANAGEMENT GROUP, LLC
RIA
CRD#: 140271
LAS VEGAS, NV
Past
July 2, 2012 - October 18, 2019
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
LAS VEGAS, NV
Past
June 29, 2005 - July 2, 2012
FIRST ALLIED SECURITIES, INC.
RIA
CRD#: 32444
LAS VEGAS, NV
Past
June 13, 2005 - October 18, 2019
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
LAS VEGAS, NV
Past
January 2, 2001 - June 13, 2005
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
February 10, 2000 - December 15, 2000
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Past
June 21, 1999 - December 31, 1999
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
CW
CETERA WEALTH SERVICES, LLC
CETERA ADVISOR NETWORKS LLC | GORDON SIMMERS SECURITY CORPORATION | FIRST ASSET MANAGEMENT CORPORATION | FINANCIAL NETWORK INVESTMENT CORPORATION | CETERA WEALTH SERVICES, LLC | CETERA NETWORKS
CRD#: 13572 / SEC#: 801-47342, 8-29577
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2301 Rosecrans Ave #5100 Suite 5100, El Segundo, CA 90245-5672
Mailing Address
Po Box 983, Saint Cloud, MN 56302
Phone number
(800) 879-8100
Established
Delaware since 12/31/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,881
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
