Stacy J. Bromann

THE DALA GROUP

HOFFMAN ESTATES, IL 60192

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CRD#: 5789640

Professional summary

Stacy J Bromann, who also goes by Stacy Jo Van Ravenhorst, is a registered financial advisor currently at THE DALA GROUP, LLC located in Hoffman Estates, Illinois.

Stacy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Stacy has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stacy Jo Van Ravenhorst

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.

Huntley Chamber of Commerce; Ambassador; Start Date: November 2023; 1 Union Special Plaza Suite 211A, Hunlley, IL 60142, Chamber of Commerce; 5 hours per month spent on business.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy J Bromann's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 4, 2023 - Present

THE DALA GROUP, LLC

Office #1: 2815 Forbs Ave, Suite 107, Hoffman Estates, IL 60192

RIA

CRD#: 291828

HOFFMAN ESTATES, IL

Past

April 26, 2018 - January 4, 2023

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CRYSTAL LAKE, IL

Past

February 23, 2016 - January 4, 2023

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CRYSTAL LAKE, IL

Past

October 1, 2012 - February 16, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

HUNTLEY, IL

Past

June 3, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

HUNTLEY, IL

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".

THE DALA GROUP, LLC

CRD#: 291828 / SEC#: 801-127948

RIA

Registered Investment Advisory firm - (5/5/2023 Approved)

Illinois

Registered Investment Advisory firm - (5/8/2023 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Illinois
(1/4/2023)

IAR

Texas
(1/5/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/23/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/11/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/2/2010

Investment Company Products/Variable Contracts Representative Examination

Current Firm

THE DALA GROUP, LLC

CRD#: 291828 / SEC#: 801-127948

RIA

Registered Investment Advisory firm - (5/5/2023 Approved)

Illinois

Registered Investment Advisory firm - (5/8/2023 Terminated)

Texas

Registered Investment Advisory firm - (5/8/2023 Terminated)

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Contact information

Main Address

2815 Forbs Ave, Suite 107, Hoffman Estates, IL 60192

Mailing Address

Phone number

(847) 485-0248

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A WRAP BROCHURE (6/27/2025)

FORM ADV PART 2A - FIRM BROCHURE - MARCH 2022 (6/27/2025)

Regulatory assets under management

Total Number of Accounts	982
AUM (Assets Under Management)	$ 193,658,200

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.

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Advisor Monitoring

Firm Stability Insights

Stacy J. Bromann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy J Bromann's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

THE DALA GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/23/2018

Series 63

Date: 6/11/2010

SIE

Date: 10/1/2018

Series 6

Date: 6/2/2010

Current Firm

THE DALA GROUP, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE DALA GROUP, LLC

TRUST BUT VERIFY

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