LB
Letitia S. Berbaum
RFG ADVISORY
Irvine, CA 92618
Some features on this profile are disabled
CRD#: 5937599
LB
Professional summary
Letitia Steiner Berbaum, AIF®, who also goes by Letitia Marie Steiner, is a registered financial advisor currently at RFG ADVISORY, LLC located in Irvine, California.
Letitia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Letitia has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Letitia Marie Steiner
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) L&B CAPITAL GROUP LLC; INVESTMENT-RELATED; 100 SPECTRUM CENTER DR, SUITE 900, IRVINE, CA 92618; CURRENT DBA-CLOSING DOWN 12/31/2024; CEO-FOUNDER, WEALTH ADVISOR; START 01/2020; 160 HOURS/MONTH DURING SECURITIES TRADING HOURS; ADVISE CLIENTS/INSURANCE. (2) BLUE SANDS WEALTH MANAGEMENT LLC; INVESTMENT-RELATED; 100 SPECTRUM CENTER DR, SUITE 900, IRVINE, CA 92618; NEW DBA - LLC; CEO-FOUNDER, WEALTH ADVISOR; START 9/2024; 160 HOURS/MONTH DURING SECURITIES TRADING HOURS; ADVISE CLIENTS/INSURANCE. (3) BLCK TRUST; NOT INVESTMENT-RELATED; PO BOX 3015, MISSION VIEJO, CA 92690; PERSONAL TRUST (OWNS RENTAL PROPERTIES); TRUSTEE; START: 2016; ONE HOUR PER MONTH DURING SECURITIES TRADING HOURS; OVERSEE RENTAL PROPERTIES.
CRS (Client Relationship Summary) - RIA
Click below to view Letitia Steiner Berbaum'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®
Experience
Current
October 1, 2024 - Present
RFG ADVISORY, LLC
Office #1: 100 Spectrum Center Dr, Irvine, CA 92618RIA
CRD#: 158401
Irvine, CA
Past
January 5, 2022 - October 1, 2024
AXXCESS WEALTH MANAGEMENT, LLC
RIA
CRD#: 164081
Laguan Beach, CA
Past
November 17, 2020 - October 5, 2021
XTON FINANCIAL LLC
BD
CRD#: 132847
Laguna Beach, CA
Past
October 6, 2020 - December 31, 2021
AXXCESS WEALTH MANAGEMENT, LLC
RIA
CRD#: 164081
Laguna Beach, CA
Past
March 24, 2018 - October 7, 2020
OPTIVEST, INC.
RIA
CRD#: 137070
DANA POINT, CA
Past
March 5, 2018 - October 7, 2020
GRAMERCY SECURITIES, INC.
BD
CRD#: 8177
DANA POINT, CA
Past
November 28, 2011 - November 22, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
IRVINE, CA
Past
August 2, 2011 - November 22, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
IRVINE, CA
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".
RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT
CRD#: 158401 / SEC#: 801-79153
RIA
Registered Investment Advisory firm - (2/6/2014 Approved)Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)Texas
Registered Investment Advisory firm - (2/18/2014 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
California(10/1/2024)
IAR
Texas(10/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT
CRD#: 158401 / SEC#: 801-79153
RIA
Registered Investment Advisory firm - (2/6/2014 Approved)Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)Texas
Registered Investment Advisory firm - (2/18/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245
Mailing Address
Phone number
(205) 397-2450
Established
Firm type
Fiscal year end
# of Employees
277
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 23,999 |
| AUM (Assets Under Management) | $ 6,120,333,343 |
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.
