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BG

Brandie M. Giffin

STERNECK CAPITAL MANAGEMENT LLC
Waterloo, NE
Some features on this profile are disabled
CRD#: 6324300
BG

Professional summary

Brandie Mignon Giffin, who also goes by Bradie Mignon Sheffield, is a registered financial advisor currently at STERNECK CAPITAL MANAGEMENT LLC located in Waterloo, Nebraska.

Brandie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Brandie has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Bradie Mignon Sheffield

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.
Brandie Giffin and her husband Doug Giffin rent out the lower level of their lake home @ 414 Riverside Dr. Waterloo, NE 68069 as individuals via Airbnb. The activity is not investment-related and the amount of time allocated to the Airbnb rental is less than 3 hours/mo. This business prompts no conflicts with Sterneck Capital Management or is clients.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brandie Mignon Giffin'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

September 6, 2016 - Present

STERNECK CAPITAL MANAGEMENT LLC

RIA
CRD#: 111463
Waterloo, NE

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".
SC
STERNECK CAPITAL MANAGEMENT LLC
STERNECK CAPITAL MANAGEMENT LLC

CRD#: 111463 / SEC#: 801-45256

RIA
Registered Investment Advisory firm - (12/20/1993 Approved)

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
Missouri
(12/7/2016)
IAR
Nebraska
(3/9/2023)
IAR
Texas
(4/22/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/6/2016
Uniform Investment Adviser Law Examination

Current Firm

SC
STERNECK CAPITAL MANAGEMENT LLC
STERNECK CAPITAL MANAGEMENT LLC

CRD#: 111463 / SEC#: 801-45256

RIA
Registered Investment Advisory firm - (12/20/1993 Approved)
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Contact information

Main Address
1251 Nw Briarcliff Pkwy Ste 95, Kansas City, MO 64116
Mailing Address
Phone number
(816) 531-2254
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (9/25/2025)

Regulatory assets under management

Total Number of Accounts638
AUM (Assets Under Management)$ 277,853,450

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.

Company Information

STERNECK CAPITAL MANAGEMENT LLC

CRD#: 111463Waterloo, NE

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