Stacy M. Tredennick
NWF ADVISORY SERVICES | Financial Advisor
Walnut Creek, CA 94596
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CRD#: 4587098
Professional summary
Stacy Mallory Tredennick, who also goes by Stacy Kathleen Mallory, Stacy M Tredennick, is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Walnut Creek, California and OSAIC WEALTH, INC. located in Danville, California.
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 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stacy Kathleen Mallory | Stacy M Tredennick
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. STACY M TREDENNICK, INVESTMENT RELATED, 817 Glen Rd, Danville CA, OWNER, STARTED 3/1/2011, 5 HOURS PER MONTH, 1 HOUR PER MONTH DURING SEC. TRADING HOURS, INSURANCE SALES AND SERVICE. 2. NWF ADVISORY GROUP POSITION: Investment Advisor Representative NATURE: Registered Investment Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 45 START DATE: 01/01/2020 ADDRESS: 817 Glen Road, Danville CA 94526, United States DESCRIPTION: Manage fee-based accounts and help clients with various Advisory-based services. 3. POA AND CO-TRUSTEE WITH MY MOTHER POSITION: Trustee and Agent of her Durable POA NATURE: A Trust account ---My mother's Survivor's Trust. And a POA on her retirement accounts. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/17/2023 ADDRESS: 12258 Kirkdale Drive, Saratoga CA 95070, United States DESCRIPTION: Help my mother carry out her Trustee duties by managing assets in her Trust accounts and her retirement accounts to provide income and growth potential. I will merely follow through on her wishes and only step in to make decisions if she's temporarily or permanently incapacitated, or requests me to make decisions.
CRS (Client Relationship Summary) - RIA
Click below to view Stacy Mallory Tredennick'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
February 14, 2017 - Present
NWF ADVISORY SERVICES INC
Office #1: 1460 Maria Lane Suite 290, Walnut Creek, CA 94596RIA
CRD#: 110410
Walnut Creek, CA
Current
January 14, 2011 - Present
OSAIC WEALTH, INC.
RIA
BD
CRD#: 23131
DANVILLE, CA
Past
January 19, 2011 - April 18, 2017
WHJR ASSOCIATES
RIA
CRD#: 113269
CAMPBELL, CA
Past
December 10, 2002 - January 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WALNUT CREEK, CA
Past
November 13, 2002 - January 18, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WALNUT CREEK, CA
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".
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 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
California(1/14/2011)
IAR
California(2/14/2017)
RR
Colorado(2/17/2012)
RR
Florida(4/13/2018)
RR
Maryland(11/19/2024)
RR
Utah(1/14/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064
Mailing Address
Phone number
(310) 475-5854
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
Red Flags
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Company Information
NWF ADVISORY SERVICES INC
Financial AdvisorCRD#: 110410Walnut Creek, CA 94596TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
xxxxxxx
