Stewart A. Bale

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CRD#: 7270261

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stewart Andrew Joseph Bale, who also goes by Stewart Andrew Bale, Stu Bale, was a registered financial professional .

Stewart is a previously registered financial professional and started their career in finance in 2021. Stewart had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stewart Andrew Bale | Stu Bale

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) Stu's Skate Sharpening LLC; Not investment related; private residence, Grand Junction, CO 81503; owner; 3/19/2024; 25 hours/month devoted; 0 hours devoted during securities trading hours; sharpening, riveting and profiling along with consumable sales and ice hockey reffing 2) Fixed insurance sales and service; investment related; private residence, Grand Junction, CO 81503; sales and service of non-variable insurance products; agent; 07-13-2020 START DATE; 3 hrs/month; 1 hr during trading; sales and service of non-variable insurance products

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 29, 2025 - May 30, 2025

WEALTHPLAN INVESTMENT MANAGEMENT LLC

RIA

CRD#: 311364

Grand Junction, CO

Past

January 11, 2024 - May 25, 2025

ONEDIGITAL

RIA

CRD#: 106766

Grand Junction, CO

Past

September 27, 2022 - October 26, 2024

WEALTHSOURCE®

RIA

CRD#: 282202

GRAND JUNCTION, CO

Past

January 27, 2021 - May 5, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Grand Jct, CO

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".

WEALTHPLAN INVESTMENT MANAGEMENT LLC

CRD#: 311364 / SEC#: 801-120004

RIA

Registered Investment Advisory firm - (12/18/2020 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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 65

Date: 9/27/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/27/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/15/2020

Securities Industry Essentials Examination

Current Firm

WEALTHPLAN INVESTMENT MANAGEMENT LLC

CRD#: 311364 / SEC#: 801-120004

RIA

Registered Investment Advisory firm - (12/18/2020 Approved)

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Contact information

Main Address

101 S 108th Ave 3rd Floor, Omaha, NE 68154

Mailing Address

Phone number

(402) 691-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (33 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A: FIRM BROCHURE (9/5/2025)

Regulatory assets under management

Total Number of Accounts	3,957
AUM (Assets Under Management)	$ 1,574,375,590

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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Advisor Monitoring

Firm Stability Insights

Stewart A. Bale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ONEDIGITAL

WEALTHSOURCE®

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

WEALTHPLAN INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/27/2022

Series 63

Date: 3/3/2021

Series 7TO

Date: 1/27/2021

SIE

Date: 9/15/2020

Current Firm

WEALTHPLAN INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (33 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHPLAN INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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