Kacie J. Swartz
BLACK BARN FINANCIAL
Austin, TX 78756
Some features on this profile are disabled
CRD#: 4560021
Professional summary
Kacie Joellen Swartz, CFP®, CIMA®, who also goes by Kacie Joellen Stitt, is a registered financial advisor currently at BLACK BARN FINANCIAL, LLC located in Austin, Texas.
Kacie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Kacie has worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 53 and Series 24 exams.
Biography
Kacie Swartz, CFP®, CIMA®, has been a fee-only financial advisor since 2013.
Kacie is a CERTIFIED FINANCIAL PLANNER™ with over fifteen years of experience in the financial services industry. She also holds the Certified Investment Management Analyst® certification, administered by Investment Management Consultants Association® and taught in conjunction with the Wharton School, University of Pennsylvania.
Prior to joining Stone Wealth Management, Kacie spent five years with Thornburg Investment Management in Santa Fe, NM, as a Senior Investment Associate advising investment professionals on asset allocation options for their clients. Kacie also spent time in Memphis, Tenneessee as an Assistant Vice President with SunTrust Investment Services and with Commerce Brokerage Services in Wichita, KS. She graduated with a Finance degree from Wichita State University in 2003.
In addition to NAPFA, Kacie is a member of the Financial Planning Association, the Young Women’s Alliance, and is a volunteer career coach with Dress For Success Austin, providing career guidance, technology skills, and support to women entering the workforce.
Question & Answer
What are your service offerings?
Social Security Planning
Socially Responsible Investing
Life Transitions
Investment Planning
Retirement Planning
Comprehensive Financial Planni...
Do you have an area of expertise or specialization?
Charitable Giving
College/Education Planning
Divorce Planning
Estate & Generational Planning...
Federal Employees
Fixed Fee (Subscription, Retai...
Are you a "fiduciary"?
Yes
Aliases
Kacie Joellen Stitt
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.
CRS (Client Relationship Summary) - RIA
Click below to view Kacie Joellen Swartz'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®
CFP®
Start date: 2012
Experience
Current
December 16, 2022 - Present
BLACK BARN FINANCIAL, LLC
Office #1: 2305 Hancock Drive, Ste. 105, Austin, TX 78756RIA
CRD#: 170885
Austin, TX
Past
October 7, 2013 - December 15, 2022
DBA STONE WEALTH MANAGEMENT
RIA
CRD#: 132202
AUSTIN, TX
Past
December 22, 2009 - September 4, 2013
THORNBURG SECURITIES LLC
BD
CRD#: 14857
SANTA FE, NM
Past
December 18, 2009 - September 4, 2013
THORNBURG INVESTMENT MANAGEMENT INC
RIA
CRD#: 106357
SANTA FE, NM
Past
February 11, 2009 - May 12, 2009
THORNBURG INVESTMENT MANAGEMENT INC
RIA
CRD#: 106357
SANTA FE, NM
Past
September 19, 2008 - May 12, 2009
THORNBURG SECURITIES LLC
BD
CRD#: 14857
SANTA FE, NM
Past
August 15, 2005 - September 8, 2008
TRUIST INVESTMENT SERVICES, INC.
RIA
CRD#: 17499
MEMPHIS, TN
Past
June 20, 2005 - September 8, 2008
TRUIST INVESTMENT SERVICES, INC.
BD
CRD#: 17499
MEMPHIS, TN
Past
August 14, 2002 - June 3, 2005
COMMERCE BROKERAGE SERVICES, INC.
BD
CRD#: 17140
CLAYTON, 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".
BB
BLACK BARN FINANCIAL, LLC
BLACK BARN FINANCIAL, LLC
CRD#: 170885 / SEC#: 801-131357
RIA
Registered Investment Advisory firm - (10/29/2024 Approved)Illinois
Registered Investment Advisory firm - (11/14/2024 Terminated)Texas
Registered Investment Advisory firm - (11/14/2024 Terminated)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
Texas(12/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
BB
BLACK BARN FINANCIAL, LLC
BLACK BARN FINANCIAL, LLC
CRD#: 170885 / SEC#: 801-131357
RIA
Registered Investment Advisory firm - (10/29/2024 Approved)Illinois
Registered Investment Advisory firm - (11/14/2024 Terminated)Texas
Registered Investment Advisory firm - (11/14/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2305 Hancock Drive, Ste. 105, Austin, TX 78756
Mailing Address
Phone number
(512) 368-9179
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 645 |
| AUM (Assets Under Management) | $ 160,042,036 |
Red Flags
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