PH
Paula K. Heffron
STONECREST ADVISORS
AUSTIN, TX 78701-4666
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CRD#: 4901921
PH
Professional summary
Paula Kay Heffron, CFP®, who also goes by Paula Kay Durham, Paula Heffron, Paula Kay Tewalt, is a registered financial advisor currently at STONECREST ADVISORS, INC. located in Austin, Texas and STONECREST CAPITAL MARKETS, INC. located in Austin, Texas.
Paula is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Paula has worked at 11 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 14, Series 4, Series 27, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paula Kay Durham | Paula Heffron | Paula Kay Tewalt
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) Stonecrest Advisors, Inc.; Investment Related; 300 W. 6th Street, Suite 1520, Austin, TX 78701; Investment Advisor Representative; Start Date 12/2/24; 60 hours per month; 40 hours per month during trading hours; Chief Compliance Officer for Stonecrest Advisors, Inc. 2) FINRA Hearing Committee Member, 1735 K Street NW, Washington DC, 20006.Investment Related. Committee member beginning 1/2022. 4 hours per month, 4 trading hours. Serve as panelist in disciplinary hearings. 3) FINRA Committee Member, 1735 K Street NW, Washington DC, 20006.Investment Related. Committee member beginning 1/2025. 4 hours per month, 4 trading hours. Serve as a committee member for the Small Firm Advisory Committee. 4) Winlo Management Group LLC.; Investment Related; 300 W. 6th Street, Suite 1520, Austin, TX 78701; Registered Representative; Start Date 12/16/24; 20 hours per month during trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Paula Kay Heffron'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
November 20, 2024 - Present
STONECREST ADVISORS, INC.
Office #1: 300 West 6th Street Suite 1550, Austin, TX 78701-4666RIA
CRD#: 142095
AUSTIN, TX
Current
November 20, 2024 - Present
STONECREST CAPITAL MARKETS, INC.
Office #1: 300 W. 6th Street Suite 1550, Austin, TX 78701BD
CRD#: 39616
AUSTIN, TX
Current
January 2, 2025 - Present
WINLO MANAGEMENT GROUP, LLC
Office #1: 300 W 6th St Suite 1550, Austin, TX 78701BD
CRD#: 288383
Austin, TX
Past
June 30, 2023 - December 31, 2023
SVB INVESTMENT SERVICES INC.
BD
CRD#: 168116
SAN FRANCISCO, CA
Past
January 22, 2021 - November 18, 2024
FIRST CITIZENS ASSET MANAGEMENT, INC
RIA
CRD#: 140777
Raleigh, NC
Past
August 13, 2019 - November 18, 2024
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
Raleigh, NC
Past
August 13, 2019 - November 18, 2024
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
Raleigh, NC
Past
May 10, 2012 - August 13, 2019
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
SAN ANTONIO, TX
Past
June 1, 2011 - August 13, 2019
USAA INVESTMENT SERVICES COMPANY
RIA
CRD#: 5475
SAN ANTONIO, TX
Past
May 24, 2011 - June 1, 2011
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
SAN ANTONIO, TX
Past
May 24, 2011 - August 13, 2019
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
SAN ANTONIO, TX
Past
April 14, 2008 - May 12, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
ARNOLD, MO
Past
April 14, 2008 - May 12, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
ARNOLD, MO
Past
March 8, 2005 - April 2, 2008
EDWARD JONES
BD
CRD#: 250
ST FRANCIS, MN
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".
SA
STONECREST ADVISORS, INC.
ASHTON STEWART WEALTH MANAGEMENT INC. | STONECREST PARTNERS | STONECREST ADVISORS, INC. | SCHILD INVESTMENT ADVISORS, INC. | REDWINE & COMPANY INC | BHS ADVISORY GROUP INC.
CRD#: 142095 / SEC#: 801-128386
RIA
Registered Investment Advisory firm - (7/21/2023 Approved)California
Registered Investment Advisory firm - (6/7/2019 Terminated)District of Columbia
Registered Investment Advisory firm - (8/7/2023 Terminated)Florida
Registered Investment Advisory firm - (8/7/2023 Terminated)New Jersey
Registered Investment Advisory firm - (8/10/2023 Terminated)New York
Registered Investment Advisory firm - (8/7/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (8/7/2023 Terminated)Puerto Rico
Registered Investment Advisory firm - (8/7/2023 Terminated)Texas
Registered Investment Advisory firm - (8/7/2023 Terminated)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
Texas(11/20/2024)
IAR
Texas(11/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SA
STONECREST ADVISORS, INC.
ASHTON STEWART WEALTH MANAGEMENT INC. | STONECREST PARTNERS | STONECREST ADVISORS, INC. | SCHILD INVESTMENT ADVISORS, INC. | REDWINE & COMPANY INC | BHS ADVISORY GROUP INC.
CRD#: 142095 / SEC#: 801-128386
RIA
Registered Investment Advisory firm - (7/21/2023 Approved)California
Registered Investment Advisory firm - (6/7/2019 Terminated)District of Columbia
Registered Investment Advisory firm - (8/7/2023 Terminated)Florida
Registered Investment Advisory firm - (8/7/2023 Terminated)New Jersey
Registered Investment Advisory firm - (8/10/2023 Terminated)New York
Registered Investment Advisory firm - (8/7/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - (8/7/2023 Terminated)Puerto Rico
Registered Investment Advisory firm - (8/7/2023 Terminated)Texas
Registered Investment Advisory firm - (8/7/2023 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
300 West 6th Street Suite 1550, Austin, TX 78701-4666
Mailing Address
Phone number
(866) 342-1069
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 383 |
| AUM (Assets Under Management) | $ 155,297,658 |
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.
