SS
Stephen W. Sikes
PUBLIC ADVISORS LLC
NEW YORK, NY 10012
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CRD#: 6912545
SS
Professional summary
Stephen William Sikes, who also goes by Stephen Sikes, is a registered financial advisor currently at PUBLIC ADVISORS LLC located in New York, New York and OPEN TO THE PUBLIC INVESTING, INC. located in New York, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Stephen has worked at 4 firms and has passed the Series 65, Series 66, Series 3, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Sikes
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen William Sikes'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®
NoneExperience
Current
March 6, 2026 - Present
PUBLIC ADVISORS LLC
Office #1: 530 Broadway 4th Floor, New York, NY 10012RIA
CRD#: 318234
NEW YORK, NY
Current
November 3, 2020 - Present
OPEN TO THE PUBLIC INVESTING, INC.
Office #1: 530 Broadway 4th Floor, New York, NY 10012Office #2: 530 Broadway Floor 4, New York, NY 10012BD
CRD#: 127818
NEW YORK, NY
Past
July 18, 2018 - November 2, 2020
SOFI WEALTH LLC
RIA
CRD#: 167958
New York, NY
Past
July 18, 2018 - October 5, 2020
SOFI SECURITIES LLC
BD
CRD#: 151717
SAN FRANCISCO, 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".
PA
PUBLIC ADVISORS LLC
OPEN TO THE PUBLIC ADVISORS | PUBLIC.COM | PUBLIC ADVISORS LLC. | PUBLIC ADVISORS LLC
CRD#: 318234 / SEC#: 801-123433
RIA
Registered Investment Advisory firm - (3/24/2022 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
Alabama(11/3/2020)
RR
Alaska(11/3/2020)
RR
Arizona(11/3/2020)
RR
Arkansas(11/3/2020)
RR
California(11/3/2020)
RR
Colorado(11/3/2020)
RR
Connecticut(11/3/2020)
RR
Delaware(11/3/2020)
RR
District of Columbia(11/3/2020)
RR
Florida(11/3/2020)
RR
Georgia(11/3/2020)
RR
Hawaii(11/3/2020)
RR
Idaho(11/3/2020)
RR
Illinois(11/3/2020)
RR
Indiana(11/3/2020)
RR
Iowa(11/3/2020)
RR
Kansas(11/3/2020)
RR
Kentucky(11/3/2020)
RR
Louisiana(11/3/2020)
RR
Maine(11/3/2020)
RR
Maryland(11/3/2020)
RR
Massachusetts(11/3/2020)
RR
Michigan(11/3/2020)
RR
Minnesota(11/3/2020)
RR
Mississippi(11/3/2020)
RR
Missouri(11/3/2020)
RR
Montana(11/3/2020)
RR
Nebraska(11/3/2020)
RR
Nevada(11/3/2020)
RR
New Hampshire(11/3/2020)
RR
New Jersey(11/3/2020)
IAR
New Jersey(3/6/2026)
RR
New Mexico(11/3/2020)
RR
New York(11/3/2020)
IAR
New York(3/6/2026)
RR
North Carolina(11/3/2020)
RR
North Dakota(11/3/2020)
RR
Ohio(11/3/2020)
RR
Oklahoma(11/3/2020)
RR
Oregon(11/3/2020)
RR
Pennsylvania(11/3/2020)
RR
Puerto Rico(11/3/2020)
RR
Rhode Island(11/3/2020)
RR
South Carolina(11/3/2020)
RR
South Dakota(11/3/2020)
RR
Tennessee(11/3/2020)
RR
Texas(11/3/2020)
RR
Utah(11/3/2020)
RR
Vermont(11/3/2020)
RR
Virgin Islands(11/3/2020)
RR
Virginia(11/3/2020)
RR
Washington(11/3/2020)
RR
West Virginia(11/3/2020)
RR
Wisconsin(11/3/2020)
RR
Wyoming(11/3/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PUBLIC ADVISORS LLC
OPEN TO THE PUBLIC ADVISORS | PUBLIC.COM | PUBLIC ADVISORS LLC. | PUBLIC ADVISORS LLC
CRD#: 318234 / SEC#: 801-123433
RIA
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Contact information
Main Address
530 Broadway 4th Floor, New York, NY 10012
Mailing Address
Phone number
(212) 401-6946
Established
Firm type
Fiscal year end
# of Employees
40
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,429 |
| AUM (Assets Under Management) | $ 8,812,622 |
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.
