Stephanie E Spriggs
Professional Summary
Stephanie E Spriggs, who also goes by Stephanie E Morris, Stephanie Spriggs, is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Springfield, Oregon. Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Stephanie has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephanie E Morris, Stephanie Spriggs
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
18 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
1670 WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CHANNEL VIEW WEALTH ADVISORS OF TSG WEALTH MANAGEMENT | CHAN WEALTH MANAGEMENT | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CAPITALHUB FINANCIAL STRATEGIES GROUP | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CAMP WILCOX GENNUSA GROUP OF 211 WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP OF NEST CAPITAL | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BROCK WEALTH MANAGEMENT OF ASCENDING CAPITAL MANAGEMENT | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BORTNIKER WEALTH MANAGEMENT OF SULLLIVAN & ASSOCIATES WEALTH MANAGEMENT | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE PRIVATE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLANCHARD LUNDBERG FINANCIAL GROUP | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIRDSEY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BAYVIEW FINANCIAL GROUP | BAUMAN WEALTH MANAGEMENT OF CENTER STREET CAPITAL ADVISORS | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 815 WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 211 WEALTH MANAGEMENT | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1817 WEALTH MANAGEMENT | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...
Contact Information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205Mailing Address
One North Jefferson Avenue H0004-05c, St. Louis, MO 63103Phone Number
(314) 875-3000Established
Delaware since 03/12/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
4,047SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | — |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory Assets Under Management
Total Number of Accounts
466,575AUM (Assets Under Management)
$252,251,271,984Disclosures
Regulatory Event
35Arbitration
39Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | Cover Page | Report |
| 01/24/2025 | Cover Page | Report |
| 12/11/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
1670 WEALTH MANAGEMENT | COGHLAN & ASSOCIATES | COASTLINE ADVISORY GROUP | COASTAL WEALTH MANAGEMENT OF PERITUS WEALTH MANAGEMENT | CLEARWATER PRIVATE WEALTH ADVISORS | CLARK STODDARD WEALTH ADVISORY GROUP OF PELORUS CAPITAL MANAGEMENT | CLARK & GOSHOW FINANCIAL STRATEGIES GROUP, LLC | CLARITY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | CLARITY WEALTH MANAGEMENT | CLARITY WEALTH | CICERO CAPITAL MANAGEMENT | CHLUMSKY WEALTH MANAGEMENT | CHERUBIN ASSET MANAGEMENT, LLC | CHANNEL VIEW WEALTH ADVISORS OF TSG WEALTH MANAGEMENT | CHAN WEALTH MANAGEMENT | CENTER STREET WEALTH MANAGEMENT | CENTER STREET CAPITAL ADVISORS | CEDARDOOR WEALTH MANAGEMENT OF INNOVATIVE RETIREMENT ASSOCIATES | CEDAR CREEK WEALTH MANAGEMENT | CASH WEALTH MANAGEMENT OF 2911 WEALTH ADVISORS | CAPSTONE FINANCIAL GROUP | CAPITOL WEALTH PARTNERS | CAPITALHUB FINANCIAL STRATEGIES GROUP | CANUM WEALTH PARTNERS | CANOPY ROADS ADVISORS | CAMPBELL SECURITIES | CAMPBELL MORRISON WEALTH MANAGEMENT OF NEST CAPITAL | CAMPBELL MORRISON WEALTH MANAGEMENT | CAMP WILCOX GENNUSA GROUP OF 211 WEALTH MANAGEMENT | CALLAHAN FINANCIAL MANAGEMENT GROUP OF NEST CAPITAL | CACCAVALLO TEAM OF ASSCENT WEALTH PARTNERS | C&R CAPITAL MANAGEMENT | BUTLER WEALTH MANAGEMENT | BURK, HALL AND CO., LLC | BURBANK WEALTH MANAGEMENT | BUIE WEALTH MANAGEMENT GROUP, INC. | BUCKHEAD FINANCIAL ADVISORS | BUCHANAN WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BROOKWOOD WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | BROOKSIDE WEALTH ADVISORS | BROCK WEALTH MANAGEMENT OF ASCENDING CAPITAL MANAGEMENT | BRIDGEPOINT WEALTH PARTNERS | BRIDGEHAVEN FINANCIAL ADVISORS, LLC | BRIDGE WEALTH PARTNERS | BREECE PRIVATE WEALTH MANAGEMENT OF TSG WEALTH MANAGEMENT | BRAUN WEALTH MANAGEMENT OF NEST CAPITAL | BPGE CAPITAL MANAGEMENT LLC | BOULDER TEAM OF ASCENT WEALTH PARTNERS | BORTNIKER WEALTH MANAGEMENT OF SULLLIVAN & ASSOCIATES WEALTH MANAGEMENT | BO HARRIS WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BLUESTONE CAPITAL ADVISORS | BLUE WAVE PRIVATE WEALTH MANAGEMENT | BLUE OCEAN INVESTMENT GROUP OF NEST CAPITAL | BLANCHARD LUNDBERG FINANCIAL GROUP | BLACK BROOK WEALTH ADVISORS | BISHOP INVESTMENTS OF TRUEJOURNEY | BIRDSEY WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | BIDDLE WEALTH | BERTAIN ESCOBAR WEALTH MANAGEMENT | BENDER PRIVATE WEALTH MANAGEMENT OF 1856 CAPITAL PARTNERS | BEAUCHAMP WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | BEAUCHAMP WEALTH MANAGEMENT | BEACON WEALTH MANAGEMENT OF NEST CAPITAL | BEACON TREE WEALTH MANAGEMENT | BE FREE WEALTH MANAGEMENT | BAYVIEW FINANCIAL GROUP | BAUMAN WEALTH MANAGEMENT OF CENTER STREET CAPITAL ADVISORS | BANYAN TREE CAPITAL | BALANCE INVESTMENT SERVICES | BAIRD FINANCIAL MANAGEMENT | BAILEY FINANCIAL GROUP OF OXFORD HARRIMAN & COMPANY | BADDERS AND MOORE WEALTH MANAGEMENT OF TRINITY CAPITAL MANAGEMENT | BACKSHORE WEALTH MANAGEMENT OF SULLIVAN & ASSOCIATES WEALTH MANAGEMENT | AZUL WEALTH PARTNERS OF CONSERVANT FINANCIAL | AVAIL WEALTH MANAGEMENT | AURIC ROAD WEALTH MANAGEMENT OF CONSERVANT FINANCIAL | ATLAS INVESTMENT MANAGEMENT OF NEST CAPITAL | ASCENT WEALTH PARTNERS | ASCENDING CAPITAL MANAGEMENT | ASCEND ADVISORY GROUP | ARVADA WEALTH | ARTISAN INVESTMENT & RETIREMENT MANAGEMENT | ARCHER WEALTH MANAGEMENT OF BUCKHEAD FINANICAL ADVISORS | ARBROATH CAPITAL | ARBOR WEALTH MANAGEMENT | APEX SECURITIES AND ASSET MANAGEMENT, LLC | AML CAPITAL ADVISORS | ALEY WEALTH MANAGEMENT | ALEXANDER INVESTMENT GROUP OF ASCENDING CAPITAL MANAGEMENT | AGAPE WEALTH PARTNERS OF EDWARDS ASSET MANAGEMENT | AG INVESTMENT MANAGEMENT POWERED BY MILLENNIUM PRIVATE WEALTH | ADROIT WEALTH MANAGEMENT | ACUNIS WEALTH PARTNERS | ACE FINANCIAL GROUP | ABOUND ADVISORS OF CONSERVANT FINANCIAL | A. KELLEY SHOOTER FINANCIAL SERVICES | 853 WEALTH MANAGEMENT | 815 WEALTH MANAGEMENT OF BRIDGEPOINT WEALTH PARTNERS | 3D PRIVATE WEALTH ADVISORS | 2911 WEALTH ADVISORS | 211 WEALTH MANAGEMENT | 1858 HAVEN PRIVATE WEALTH | 1856 CAPITAL PARTNERS | 1817 WEALTH MANAGEMENT | 1787 WEALTH MANAGEMENT OF OXFORD HARRIMAN & COMPANY...
State Registrations and Notice Filings
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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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephanie E Spriggs's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephanie E Spriggs's CRS (Customer Relationship Summary).
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