Stephanie A. Lackenby

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CRD#: 4804509

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephanie Alyce Lackenby, who also goes by Stephanie Alyce Krauss, Stephanie Krauss, Stephanie A. Lackenby, was a registered financial professional .

Stephanie is a previously registered financial professional and started their career in finance in 2004. Stephanie had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephanie Alyce Krauss | Stephanie Krauss | Stephanie A. Lackenby

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. NWF ADVISORY GROUP, INC. POSITION: Consultant NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/17/2014 ADDRESS: 11835 W. Olympic Blvd, Suite 1150E, Los Angeles CA 90064, United States DESCRIPTION: Assist CCO if needed. General backup for CCO for duties including TRP, TRS, and correspondence review. Available for guidance on office, compliance and HR procedures. 2. MANAGED MUTUALS POSITION: Assistant NATURE: Corporation INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 09/16/2019 ADDRESS: 11835 W Olympic Blvd #1155E, Los Angeles CA 90064, United States DESCRIPTION: Assist with trades, as needed 3. LACKENBY AT LAW POSITION: Attorney NATURE: Sole proprietorship INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 15 START DATE: 03/06/2020 ADDRESS: 11835 W. Olympic Blvd, Suite 1155E, Los Angeles CA 90064, United States DESCRIPTION: Licensed attorney with the State of California, primarily focusing on estate planning NWF ADVISORY GROUP, INC. POSITION: Consultant NATURE: Corporation - INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/17/2014 ADDRESS: 11835 W. Olympic Blvd, Suite 1150E, Los Angeles CA 90064, United States DESCRIPTION: Assist CCO ifneeded. General backup for CCO for duties including TRP, TRS, and correspondence review. Available for guidance on office, compliance and HR procedures.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 12, 2009 - December 8, 2022

NWF ADVISORY SERVICES INC

RIA

CRD#: 110410

LOS ANGELES, CA

Past

February 11, 2005 - November 2, 2022

OSAIC WEALTH, INC.

CRD#: 23131

LOS ANGELES, CA

Past

August 4, 2004 - November 18, 2004

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, 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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/30/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/3/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/23/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/3/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/8/2010

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 7/5/2005

General Securities Principal Examination

Current Firm

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)

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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

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,979
AUM (Assets Under Management)	$ 3,824,876,751

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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Firm Stability Insights

Stephanie A. Lackenby

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC WEALTH, INC.

NATIONAL PLANNING CORPORATION

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/30/2008

Series 63

Date: 7/3/2004

SIE

Date: 10/1/2018

Series 7

Date: 3/23/2005

Series 6

Date: 8/3/2004

Series 53

Date: 4/8/2010

Series 24

Date: 7/5/2005

Current Firm

NWF ADVISORY SERVICES INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWF ADVISORY SERVICES INC

TRUST BUT VERIFY

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