Stephanie A. Williams
Professional summary
Stephanie Anne Williams, who also goes by Stephanie Anne Waits, Stephanie Waits, is a registered financial advisor currently at ALPHACORE CAPITAL LLC located in La Jolla, California.
Stephanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Stephanie has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Anne Williams's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2020 - Present
ALPHACORE CAPITAL LLC
Office #1: 1200 Prospect St Suite 200, La Jolla, CA 92037March 16, 2018 - September 4, 2020
ALTEGRIS ADVISORS, LLC
March 16, 2009 - September 4, 2020
ALPHAMAX DISTRIBUTORS, L.L.C.
February 29, 2008 - October 13, 2008
CABIN SECURITIES, INC.
Primary Firm SEC Registration
ALPHACORE CAPITAL LLC
CRD#: 174346 / SEC#: 801-108468
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/28/2020)
(11/2/2020)
(9/28/2020)
(9/28/2020)
(12/2/2021)
(5/5/2022)
(9/28/2020)
(9/26/2024)
Exams
Current Firm
ALPHACORE CAPITAL LLC
CRD#: 174346 / SEC#: 801-108468
Contact information
SEC notice filing (46 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,249 |
| AUM (Assets Under Management) | $ 6,060,926,747 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 |
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.
