Stephanie L. Baity
ALLIANCE FINANCIAL
Carlisle, PA 17015
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CRD#: 6468230
Professional summary
Stephanie Lynn Baity, CFP®, who also goes by Stephanie Lynn Peffer, Stephanie Lynn Wall, is a registered financial advisor currently at ALLIANCE FINANCIAL located in Carlisle, Pennsylvania and LPL FINANCIAL LLC located in Carlisle, Pennsylvania.
Stephanie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Stephanie has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Investment Planning
Debt Management
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes
Aliases
Stephanie Lynn Peffer | Stephanie Lynn Wall
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. 02/14/2018 - Jacqueline L. Powell & Associates, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 6/2016 - 40 Hours Per Month/7 Hours During Securities Trading. 2. 02/14/2018 - US Road Running - Not Investment Related - 4169 N George St., Manchester, PA 17345 - Other - Start Date 4/1/2016 - 15 Hours Per Month/0 Hours During Securities Trading. 3. 7/20/2020 - Alliance Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/01/2020 - 80 Hours Per Month During Securities Trading. 4. 06/21/2022 - Alliance Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 05/25/2022 - 160 Hours Per Month/ 160 Hours During Securities Trading - I provide investment advisory services through Alliance Financial, an independent investment advisor firm. I started this business activity in 5/2022. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 06/21/2022 - Alliance Financial - DBA: Fox Financial Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date - 05/25/2022 - 160 Hours Per Month/ 160 Hours During Securities Trading. 6. 11/18/2022 - No Business Name - Not Investment Related - 405 Forge Road Boiling Springs PA 17007 - Other - Poll worker - Poll worker or machine operator - Start Date - 01/01/2022 - 1 Hours Per Month/1 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Stephanie Lynn Baity'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®
Start date: 2020
Experience
Current
May 23, 2022 - Present
ALLIANCE FINANCIAL
Office #1: 43a Brookwood Ave Suite 6, Carlisle, PA 17015RIA
CRD#: 319679
Carlisle, PA
Current
February 14, 2018 - Present
LPL FINANCIAL LLC
Office #1: 43a Brookwood Ave Ste 6, Carlisle, PA 17015Office #2: 940 E Park Dr Ste 201 & 202, Harrisburg, PA 17111RIA
BD
CRD#: 6413
Carlisle, PA
Past
February 14, 2018 - October 28, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
FORT MILL, SC
Past
June 24, 2016 - February 14, 2018
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
CARLISLE, PA
Past
June 24, 2016 - February 14, 2018
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
CARLISLE, PA
Past
July 13, 2015 - June 9, 2016
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
CARLISLE, PA
Past
May 4, 2015 - June 9, 2016
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
CARLISLE, PA
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".
AF
ALLIANCE FINANCIAL
ALLIANCE FINANCIAL | FOX FINANCIAL, INC. | FOX FINANCIAL, INC DBA ALLIANCE FINANCIAL
CRD#: 319679 / SEC#: 801-125698
RIA
Registered Investment Advisory firm - (5/18/2022 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Pennsylvania(2/14/2018)
IAR
Pennsylvania(5/23/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AF
ALLIANCE FINANCIAL
ALLIANCE FINANCIAL | FOX FINANCIAL, INC. | FOX FINANCIAL, INC DBA ALLIANCE FINANCIAL
CRD#: 319679 / SEC#: 801-125698
RIA
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Contact information
Main Address
1105 Berkshire Blvd. Ste 120,, Wyomissing, PA 19610
Mailing Address
Phone number
(610) 376-5981
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 978 |
| AUM (Assets Under Management) | $ 254,749,672 |
Red Flags
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Company Information
ALLIANCE FINANCIAL
CRD#: 319679Carlisle, PA 17015TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
