Stacy A. Borek

STEELPEAK WEALTH

Santa Barbara, CA 93101

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CRD#: 4700708

Professional summary

Stacy Ann Borek, CFP®, who also goes by Stacy Ann Elliott, is a registered financial advisor currently at STEELPEAK WEALTH, LLC located in Santa Barbara, California.

Stacy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Stacy has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stacy Ann Elliott

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.

Name: Ridgeway & Warner Address: 525 Olive Street, Santa Barbara, CA 93101 Nature of business: Tax accounting Investment related: No Position: Tax Accountant Start Date: 02/2021 Approximate number of hours/month: 80 Hours during securities trading hours: 0 Duties: Data gathering/input for completion of individual tax returns

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy Ann Borek'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

February 12, 2025 - Present

STEELPEAK WEALTH, LLC

Office #1: 525 Olive Street, Santa Barbara, CA 93101

RIA

CRD#: 165168

Santa Barbara, CA

Past

January 25, 2021 - March 10, 2025

CAPITAL B FINANCIAL PLANNING, LLC

RIA

CRD#: 311683

SANTA BARBARA, CA

Past

May 10, 2013 - February 1, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SANTA BARBARA, CA

Past

January 1, 2013 - February 1, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SANTA BARBARA, 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".

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 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
(2/12/2025)

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 66

Date: 5/9/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/28/2012

General Securities Representative Examination

Current Firm

STEELPEAK WEALTH, LLC

CRD#: 165168 / SEC#: 801-77132

RIA

Registered Investment Advisory firm - (9/10/2012 Approved)

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Contact information

Main Address

21650 Oxnard Street Suite 2300, Woodland Hills, CA 91367

Mailing Address

Phone number

(818) 835-8720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (10/22/2025)

Regulatory assets under management

Total Number of Accounts	8,369
AUM (Assets Under Management)	$ 3,439,042,634

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 A. Borek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy Ann Borek's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEELPEAK WEALTH, LLC

CAPITAL B FINANCIAL PLANNING, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

STEELPEAK WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/9/2013

SIE

Date: 10/1/2018

Series 7

Date: 12/28/2012

Current Firm

STEELPEAK WEALTH, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEELPEAK WEALTH, LLC

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