BS
Brian J. Stoker
WEST RIDGE ADVISORS
MIDVALE, UT 84047
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CRD#: 5515350
BS
Professional summary
Brian J Stoker, who also goes by Brian Stoker, is a registered financial advisor currently at WEST RIDGE ADVISORS located in Midvale, Utah.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Brian has worked at 5 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Stoker
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.
STOKER FINANCIAL LLC
POSITION: OWNER NATURE: TAX PURPOSES INVESTMENT RELATED: YES NUMBER OF HOURS: 0 INVESTMENT RELATED HOURS: 0 START DATE: 08/01/2014
ADDRESS: 7396 UNION PARK AVE, STE 101, MIDVALE UT 84047
DESCRIPTION: THIS LLC WAS STRICTLY SET UP FOR TAX PURPOSES. I RUN MY TAXES THROUGH THIS BUT DON'T USE IT FOR MY PUBLIC NAME
LIFE/ACCIDENT/HEALTH INSURANCE AND ANNUITIES
POSITION: Rep NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2015
ADDRESS: 2950 SW McClure Rd, Topeka KS 66614
DESCRIPTION: To provide additional insurance related products for my clients.
CRS (Client Relationship Summary) - RIA
Click below to view Brian J Stoker'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®
NoneExperience
Current
February 24, 2020 - Present
WEST RIDGE ADVISORS
Office #1: 7396 Union Park Ave. Suite 101, Midvale, UT 84047RIA
CRD#: 282718
MIDVALE, UT
Past
November 16, 2012 - February 21, 2020
GWN SECURITIES INC.
RIA
CRD#: 128929
Midvale, UT
Past
November 16, 2012 - February 21, 2020
GWN SECURITIES INC.
BD
CRD#: 128929
Midvale, UT
Past
June 11, 2009 - November 16, 2012
LEGEND ADVISORY, LLC
RIA
CRD#: 104761
HOLLADAY, UT
Past
June 11, 2009 - November 16, 2012
LEGEND EQUITIES CORPORATION
BD
CRD#: 30999
HOLLADAY, UT
Past
July 30, 2008 - June 19, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HIGHLANDS RANCH, CO
Past
May 23, 2008 - June 19, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HIGHLANDS RANCH, CO
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".
WR
WEST RIDGE ADVISORS
EVERGREEN CAPITAL MANAGEMENT | WEST RIDGE ADVISORS, LLC | WEST RIDGE ADVISORS | EVERGREEN CAPITAL MANAGEMENT LTD
CRD#: 282718 / SEC#: 801-118247
RIA
Registered Investment Advisory firm - (3/13/2020 Approved)Arizona
Registered Investment Advisory firm - (3/11/2021 Terminated)California
Registered Investment Advisory firm - (4/10/2021 Terminated)Nevada
Registered Investment Advisory firm - (4/14/2021 Terminated)Utah
Registered Investment Advisory firm - (3/11/2021 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.Highlighted states indicate IAR registrations
IAR
Utah(2/24/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WR
WEST RIDGE ADVISORS
EVERGREEN CAPITAL MANAGEMENT | WEST RIDGE ADVISORS, LLC | WEST RIDGE ADVISORS | EVERGREEN CAPITAL MANAGEMENT LTD
CRD#: 282718 / SEC#: 801-118247
RIA
Registered Investment Advisory firm - (3/13/2020 Approved)Arizona
Registered Investment Advisory firm - (3/11/2021 Terminated)California
Registered Investment Advisory firm - (4/10/2021 Terminated)Nevada
Registered Investment Advisory firm - (4/14/2021 Terminated)Utah
Registered Investment Advisory firm - (3/11/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1528 W. Warm Springs Rd #120, Henderson, NV 89014
Mailing Address
Phone number
(702) 547-9483
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,068 |
| AUM (Assets Under Management) | $ 268,069,576 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/29/2024 | ||
| 04/10/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
