Stacy M. Thatcher

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CRD#: 6006926

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stacy M Thatcher, who also goes by Stacy M Johnson, Stacy Marie Johnson, Stacy Marie Johnson, Stacy Marie Thatcher, Stacy Marie Thornsberry, Stacy Marie Thatcher, Stacy Marie Thornsberry, was a registered financial professional .

Stacy is a previously registered financial professional and started their career in finance in 2012. Stacy had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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) 01/03/2025 - The Office of Guardian ad Litem - Non-profit volunteer (not on board) - I work with the 7th District Courts Guardian Ad Litem office as a trained CASA volunteer. - INV Related - At Price, UT - Start date 11/29/2023 - 8hrs/mth - 0hrs During Trading 2) 01/03/2025 - On Call Restoration - Business Owner - Consulting, I help with making business decision for our family owned construction company. - Not INV Related - At Price, UT - Start Date 10/18/2018 - 10 hrs/mth - 2hrs During Trading 3) 01/03/2025 - Rock Hard Survival - Business Owner - Consulting. I help with marketing and business planning. - Not INV Related - At Price, UT - Start Date 03/17/2021 - 5 hrs/mth - 0hrs During Trading 4) 01/03/2025 - Carbon county republican committee - Non-profit volunteer (not on board) - Coordinate information from republican candidates to precinct constituents during elections. - Not INV Related - At Price, UT - Start Date 05/16/2024 - 2hrs/mth - 0hrs During Trading 5) 01/03/2025 - Kawanis - Non-profit volunteer (not on board) - To better the lives of the youth in our community through things like a duck race in the spring, Kids day in the park in the summer and Sub for Santa at the end of the year. - INV Related - At Helper, UT - Start Date 12/06/2018 - 6hrs/mth - 0hrs During Trading

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 7, 2025 - March 17, 2025

LPL ENTERPRISE, LLC

RIA

CRD#: 8733

PRICE, UT

Past

January 7, 2025 - March 17, 2025

LPL ENTERPRISE, LLC

CRD#: 8733

PRICE, UT

Past

February 1, 2024 - July 9, 2024

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MINNEAPOLIS, MN

Past

January 31, 2024 - July 9, 2024

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MINNEAPOLIS, MN

Past

November 1, 2018 - March 24, 2023

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

PRICE, UT

Past

November 1, 2018 - March 24, 2023

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

PRICE, UT

Past

August 19, 2013 - February 19, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

ALBUQUERQUE, NM

Past

July 15, 2013 - February 9, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ALBUQUERQUE, NM

Past

January 5, 2012 - June 25, 2013

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

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".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 8/10/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/17/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/4/2012

General Securities Representative Examination

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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 M. Thatcher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL ENTERPRISE, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2013

Series 63

Date: 1/17/2012

SIE

Date: 2/9/2018

Series 7

Date: 1/4/2012

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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