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Alec F. Wittenberg

STOUT CAPITAL
Los Angeles, CA 90067
Some features on this profile are disabled
CRD#: 7156997
AW

Professional summary

Alec Francis Wittenberg is a registered financial professional currently at STOUT CAPITAL, LLC located in Los Angeles, California.

Alec is registered as a RR (Registered Representative) and started their career in finance in 2021. Alec has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alec Francis Wittenberg'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®
None

Experience

Current

October 3, 2024 - Present

STOUT CAPITAL, LLC

Office #1: 10100 Santa Monica Blvd. Suite 1050, Los Angeles, CA 90067
BD
CRD#: 127302
Los Angeles, CA
Past

October 7, 2021 - January 28, 2022

STOUT CAPITAL, LLC

BD
CRD#: 127302
LOS ANGELES, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(10/3/2024)
RR
Illinois
(10/3/2024)
RR
Michigan
(10/3/2024)
RR
New York
(10/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 7/12/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/3/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/16/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/17/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SC
STOUT CAPITAL, LLC
STOUT CAPITAL, LLC | STOUT RISIUS ROSS ADVISORS, LLC

CRD#: 127302 / SEC#: , 8-65979

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
150 West Second Street Suite 400, Royal Oak, MI 48067
Mailing Address
150 West Second Street Suite 400, Royal Oak, MI 48067
Phone number
(248) 208-8800
Established
Michigan since 05/15/2003
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (38 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
STOUT RISIUS ROSS, LLC100% OWNER OF STOUT CAPITAL, LLC
BARRESE, PAUL JOSEPHCHIEF COMPLIANCE OFFICER5131266
MANNING, KEVIN SCEO & PRESIDENT4700945
THIES, RYAN DAVIDFINOP5766932

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

STOUT CAPITAL, LLC

CRD#: 127302Los Angeles, CA 90067

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