Stacy M. Paradise

UNITED CAPITAL FINANCIAL ADVISORS

SACRAMENTO, CA 95814

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CRD#: 4196962

Professional summary

Stacy Marlene Paradise, who also goes by Stacy Paradise Dauphinais, Stacy Marlene Freeman, Stacy M Paradise, Stacy Paradise-dauphinais, is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Sacramento, California.

Stacy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stacy has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

At a Glance

Always Fiduciary

Aliases

Stacy Paradise Dauphinais | Stacy Marlene Freeman | Stacy M Paradise | Stacy Paradise-Dauphinais

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 Stacy Marlene Paradise'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

January 13, 2017 - Present

UNITED CAPITAL FINANCIAL ADVISORS

Office #1: 1200 Scenic Drive Suite 111, Sacramento, CA 95814

RIA

CRD#: 134600

SACRAMENTO, CA

Past

June 8, 2023 - November 20, 2023

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

MODESTO, CA

Past

June 29, 2022 - November 20, 2023

GOLDMAN SACHS & CO. LLC

CRD#: 361

Modesto, CA

Past

June 16, 2022 - June 16, 2022

GOLDMAN SACHS & CO. LLC

RIA

CRD#: 361

Modesto, CA

Past

November 1, 2017 - July 15, 2019

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

MODESTO, CA

Past

November 1, 2017 - July 1, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

MODESTO, CA

Past

January 13, 2017 - November 1, 2017

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

MODESTO, CA

Past

January 13, 2017 - November 1, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

MODESTO, CA

Past

October 23, 2009 - January 17, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

MODESTO, CA

Past

October 23, 2009 - January 17, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MODESTO, CA

Past

April 25, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

ROSEVILLE, CA

Past

April 20, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

ROSEVILLE, CA

Past

March 29, 2007 - April 23, 2007

WAMU INVESTMENTS, INC.

RIA

CRD#: 599

MODESTO, CA

Past

September 25, 2001 - April 23, 2007

WAMU INVESTMENTS, INC.

CRD#: 599

MODESTO, CA

Past

July 30, 2001 - September 5, 2001

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

ST. CLOUD, MN

Past

June 27, 2000 - July 30, 2001

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

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".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 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

California
(1/13/2017)

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: 3/27/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 11/1/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/7/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/26/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

PREMIUM

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Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

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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Stacy M. Paradise

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy Marlene Paradise's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERCER ALLIED COMPANY, L.P.

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS & CO. LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

WAMU INVESTMENTS, INC.

WAMU INVESTMENTS, INC.

GUARANTY BROKERAGE SERVICES, INC.

CAPITAL BROKERAGE CORPORATION

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 3/27/2007

Series 63

Date: 6/26/2000

Series 6TO

Date: 11/1/2023

SIE

Date: 10/1/2018

Series 7

Date: 11/7/2001

Series 6

Date: 6/26/2000

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

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