SH
Stephanie V. Hicks
TRANSAMERICA FINANCIAL ADVISORS
Carson, CA 90746
Some features on this profile are disabled
CRD#: 4640994
SH
Professional summary
Stephanie Valechia Hicks, who also goes by Stephanie Valechia Mitchell, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Carson, California.
Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Stephanie has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephanie Valechia Mitchell
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Enrollment First Inc./ 1121-Present / Investment Related: Yes / 6712 Deane Hill Dr. Knoxville, TN 37919 / Independent Contractor/ Health -Life Insurance / Hrs. Work Monthly: 1 / Sec Trading Hrs: 0 / None to date, however will simply use the company to provide guaranteed issue whole life products to clients under age 50 Covered California(California Health Benefit Exchange)/ 0113-Present/ Investment-Related: No / 1601 Exposition Blvd. / SACRAMENTO, CA 95815 / Covered Calif Agent/ Provide Health Benefit Coverage Thru Covered California / Hrs Work Monthly: 4 / Sec Trading Hrs: 0 /Provide Quotes For Those In Need Of Health Insurance. Stephanie Hicks/Yes/1265 E. 223rd Street/Carson/CA/90745/Rental of real estate owned/Owner/03.01.1989/1/0/None Freedom Equity/No/550 East Carson Ave., Suite #127/Carson/California/90746/It is a real estate company. The company buys and sells real estate and do real estate loans/I am the owner of the real estate company/10.17.2011/160/0/I do real estate business buy and sell real estate and do real estate loans. ADVANTAGE LEGACY CORPORATION/NO/ADVANTAGE LEGACY, 1265 E. 223RD STREET, CARSON, CA, 90745/JUST FOR ACCOUNTING PURPOSES OF WFG INCOME/EXPENSES/PRESIDENT/02.02.2015/1/0/NONE Dickerson Insurance Agency / 0719-Present/ Investment Related: No /1918 Riverside Drive, Los Angeles, CA 90039 / Insurance Agent/ Offer Medicare services to seniors/ Hrs Work Monthly: 28 / Sec Trading Hrs: 0 / None yet but intend to contact seniors to offer Medicare during open enrollment period
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Valechia Hicks's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephanie Valechia Hicks'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 550 E. Carson Plaza Drive Suite 127, Carson, CA 90746RIA
BD
CRD#: 16164
Carson, CA
Current
December 14, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 550 E. Carson Plaza Drive Suite 127, Carson, CA 90746RIA
BD
CRD#: 16164
Carson, CA
Past
January 24, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
ANAHEIM, CA
Past
May 27, 2003 - March 17, 2008
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
IAR
California(1/6/2012)
RR
California(8/4/2021)
RR
Georgia(1/3/2022)
RR
Texas(9/10/2025)
IAR
Texas(9/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
