SC
Stacy A. Clifford
HOLISTIC WEALTH ADVISORS
CLIFTON PARK, NY 12065
Some features on this profile are disabled
CRD#: 4577816
SC
Professional summary
Stacy Ann Clifford, AIF®, who also goes by Stacy Ann Clifford Mrs., Stacy Ann Walker Ms., is a registered financial advisor currently at HOLISTIC WEALTH ADVISORS located in Clifton Park, New York and LPL FINANCIAL LLC located in Clifton Park, New York.
Stacy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Stacy has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stacy Ann Clifford Mrs. | Stacy Ann Walker Ms.
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) 12/15/2017 - Holistic Wealth Advisors - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s)- start: 12/2017 - 160 hr/mth 2) 12/15/2017 - The Albany Agency - Non-Variable Insurance, Medical Life Disablity & LTC - inv rel - at reported business location(s) - start: 03/2013 - 15 hr/mth 3) 12/20/2017- DBA for LPL Business (entity for LPL business)- Stratos Wealth Partners- INV Related- at reported business location(s)- Start date 12/2017- 160 Hours Per Month- 8 Hours During Trading 4) 3/7/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/09/2018 - 10 Hours Per Month During Securities Trading. 5) 8/8/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:03/21/2018 - 10 Hours Per Month/10 Hours During Trading 6) 07/05/2023 - Advisors Insurance Brokers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 05/03/2023 - 1 Hour Per Month/ 1 Hour During Securities Trading 7) 12/19/2024- Holistic Wealth Advisors, LLC- Registered Investment Advisor- I provide investment advisory services through Holistic Wealth Advisors, LLC, an independent investment advisor firm. I started this business activity in 9/2024. I expect to spend approximately 10 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.- INV Related- At reported business location(s)- Start date 09/17/2024- 10 Hours Per Month- 1 Hour During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Stacy Ann Clifford'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®
Experience
Current
December 16, 2024 - Present
HOLISTIC WEALTH ADVISORS
Office #1: 5 Southside Drive Suite 204, Clifton Park, NY 12065RIA
CRD#: 332918
CLIFTON PARK, NY
Current
December 20, 2017 - Present
LPL FINANCIAL LLC
Office #1: 5 Southside Drive, Ste. 204, Clifton Park, NY 12065RIA
BD
CRD#: 6413
Clifton Park, NY
Past
December 20, 2017 - December 23, 2024
STRATOS WEALTH PARTNERS, LTD
RIA
CRD#: 153184
Clifton Park, NY
Past
July 15, 2015 - December 22, 2017
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
CLIFTON PARK, NY
Past
December 10, 2012 - October 29, 2014
HOLISTIC PRIVATE WEALTH, LLC
RIA
CRD#: 152540
CLIFTON PARK, NY
Past
September 25, 2002 - December 22, 2017
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
CLIFTON PARK, 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".
HW
HOLISTIC WEALTH ADVISORS
HOLISTIC WEALTH ADVISORS
CRD#: 332918 / SEC#: 801-131511
RIA
Registered Investment Advisory firm - (11/26/2024 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/24/2024)
RR
California(12/20/2017)
RR
Colorado(12/20/2017)
RR
Connecticut(12/20/2017)
IAR
Connecticut(12/16/2024)
RR
Florida(12/20/2017)
RR
Georgia(9/24/2024)
RR
Indiana(9/24/2024)
RR
Maine(12/20/2017)
RR
Massachusetts(12/20/2017)
RR
New Hampshire(12/20/2017)
RR
New Jersey(11/1/2021)
RR
New York(12/20/2017)
IAR
New York(12/16/2024)
RR
North Carolina(12/20/2017)
RR
Oregon(12/20/2017)
RR
Pennsylvania(12/6/2024)
RR
Rhode Island(6/28/2019)
IAR
Texas(12/16/2024)
RR
Vermont(12/20/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HW
HOLISTIC WEALTH ADVISORS
HOLISTIC WEALTH ADVISORS
CRD#: 332918 / SEC#: 801-131511
RIA
Registered Investment Advisory firm - (11/26/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5 Southside Drive Suite 204, Clifton Park, NY 12065
Mailing Address
Phone number
(518) 357-3858
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,097 |
| AUM (Assets Under Management) | $ 234,323,910 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
HOLISTIC WEALTH ADVISORS
CRD#: 332918Clifton Park, NY 12065TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
