Stacy Y. Barrom

MOSAIC WEALTH CONSULTANTS

Germantown, TN 38139

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CRD#: 6151905

Professional summary

Stacy Y Barrom, CFP®, who also goes by Stacey Barrom, is a registered financial advisor currently at MOSAIC WEALTH CONSULTANTS, INC. located in Germantown, Tennessee.

Stacy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Stacy has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stacey Barrom

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)Independent Insurance Agent, investment related, Germantown, TN; sales of insurance products, 11/2019, general insurance sales; 15 hrs per month all during normal trading hours. 2) Volleyball Coach / Referee, not investment related, sporadic/seasonal contract labor, Coach or Referee,2020-11-03,15 hours per month,0 hours per month during trading hours, Hourly Compensation, coaching volleyball for a local club (teen/pre-teen age girls) and periodically I may be called to referee volleyball matches. 3) Stacy Barrom Sole Proprietor; Tax Consultant; Non-Investment Related; Germantown, TN; 12/2015; 5% of time spent on activity outside of trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy Y Barrom'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®

CFP^®

Certified Financial Planner

Start date: 2015

Experience

Current

November 14, 2022 - Present

MOSAIC WEALTH CONSULTANTS, INC.

Office #1: 8549 Cordes Circle Suite 104, Germantown, TN 38139

RIA

CRD#: 323422

Germantown, TN

Past

November 1, 2021 - June 27, 2022

REALTA INVESTMENT ADVISORS, INC

RIA

CRD#: 134952

Memphis, TN

Past

November 1, 2021 - June 27, 2022

REALTA EQUITIES, INC.

CRD#: 23769

Memphis, TN

Past

January 3, 2017 - October 1, 2021

CALTON & ASSOCIATES, INC.

RIA

CRD#: 20999

Germantown, TN

Past

January 3, 2017 - October 1, 2021

CALTON & ASSOCIATES, INC.

CRD#: 20999

TAMPA, FL

Past

July 2, 2013 - January 3, 2017

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

MEMPHIS, TN

Past

May 9, 2013 - January 3, 2017

FSC SECURITIES CORPORATION

CRD#: 7461

MEMPHIS, TN

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

Tennessee
(11/21/2022)

IAR

Texas
(11/14/2022)

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: 4/17/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/8/2013

General Securities Representative Examination

Current Firm

MOSAIC WEALTH CONSULTANTS, INC.

CRD#: 323422 / SEC#:

Tennessee

Registered Investment Advisory firm - (11/18/2022 Approved)

Texas

Registered Investment Advisory firm - (10/25/2022 Conditional Restricted)

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Contact information

Main Address

8549 Cordes Circle Suite 104, Germantown, TN 38139

Mailing Address

2095 Exeter Road #80-229, Germantown, TN 38138

Phone number

(901) 651-3151

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	13
AUM (Assets Under Management)	$ 3,210,040

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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Stacy Y. Barrom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stacy Y Barrom's CRS (Customer Relationship Summary).

Certified licenses

Experience

MOSAIC WEALTH CONSULTANTS, INC.

REALTA INVESTMENT ADVISORS, INC

REALTA EQUITIES, INC.

CALTON & ASSOCIATES, INC.

CALTON & ASSOCIATES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 4/17/2013

SIE

Date: 10/1/2018

Series 7

Date: 5/8/2013

Current Firm

MOSAIC WEALTH CONSULTANTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

MOSAIC WEALTH CONSULTANTS, INC.

TRUST BUT VERIFY

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