SB
Stacy H. Bortle
CITIZENS SECURITIES
Charlotte, NC 28209
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CRD#: 5731633
SB
Stacy H BortleCITIZENS SECURITIES
Professional summary
Stacy H Bortle, who also goes by Stacy D Hawkins, Stacy Denise Hawkins, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Charlotte, North Carolina.
Stacy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Stacy has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 9 exams.
Aliases
Stacy D Hawkins | Stacy Denise Hawkins
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) Poshmark: not investment-related; conducted rom home; online resale site to sell small used items; app user; 8/12/22; 1 hour per weekend; none during trading hours; basically an online garage sale, no items are purchased with the intent to sell 2) Herbalife Nutrition: not investment-related; conducted from home; distributorship for nutrition products; independent distributor; 11/14/2022;1 hours/month devoted to the other business; 0 during securities trading hours; order products as needed for self or friends and family
CRS (Client Relationship Summary) - RIA
Click below to view Stacy H Bortle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stacy H Bortle'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
August 3, 2026 - Present
CITIZENS SECURITIES, INC.
Office #1: 4250 Congress St Ste 300, Charlotte, NC 28209RIA
BD
CRD#: 39550
Charlotte, NC
Current
August 3, 2026 - Present
CITIZENS SECURITIES, INC.
Office #1: 200 Station Drive, Westwood, MA 02090RIA
BD
CRD#: 39550
WESTWOOD, MA
Past
May 24, 2022 - May 13, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
RIA
CRD#: 44430
CHARLOTTE, NC
Past
May 16, 2022 - May 13, 2026
FIRST CITIZENS INVESTOR SERVICES, INC.
BD
CRD#: 44430
CHARLOTTE, NC
Past
August 17, 2018 - February 26, 2021
LPL FINANCIAL LLC
RIA
CRD#: 6413
JACKSON, MS
Past
August 15, 2018 - February 26, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
JACKSON, MS
Past
July 7, 2014 - March 14, 2018
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
SAN ANTONIO, TX
Past
June 25, 2014 - March 14, 2018
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
NASHVILLE, TN
Past
June 19, 2013 - April 29, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
SAN ANTONIO, TX
Past
May 20, 2010 - April 29, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
SAN ANTONIO, TX
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".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
North Carolina(8/3/2026)
IAR
North Carolina(8/3/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
