SP
Stefan Pereira Faria
ASHTON THOMAS PRIVATE WEALTH
Midland, TX 79701
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CRD#: 7504811
SP
Professional summary
Stefan Pereira Faria, who also goes by Stefan Pereirafaria, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Midland, Texas and ASHTON THOMAS SECURITIES, LLC located in Midland, Texas.
Stefan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Stefan has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stefan Pereirafaria
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.
MSP FAMILY1 LLC, NOT INVT RELATED, MIDLAND, TX, 50% OWNERSHIP, START DATE 3/08/2022, 1 HR PER MONTH, 0 HRS DURING TRADING, FAMILY LLC AMAZON E-COMMERCE STORE.
CRS (Client Relationship Summary) - RIA
Click below to view Stefan Pereira Faria'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
May 28, 2024 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 415 W Wall Street Suite 840, Midland, TX 79701RIA
CRD#: 153902
Midland, TX
Current
September 9, 2024 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 415 W Wall Street Suite 2120, Midland, TX 79701RIA
BD
CRD#: 16629
Midland, TX
Past
December 11, 2022 - June 7, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
MIDLAND, TX
Past
August 30, 2022 - June 7, 2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
MIDLAND, TX
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".
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 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
Arkansas(9/9/2024)
RR
California(9/9/2024)
RR
Colorado(9/9/2024)
RR
Florida(9/9/2024)
RR
Maryland(9/9/2024)
RR
Michigan(9/9/2024)
RR
Nevada(9/9/2024)
RR
Tennessee(9/9/2024)
IAR
Texas(5/28/2024)
RR
Texas(9/9/2024)
RR
Utah(9/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/30/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 732-4745
Established
Firm type
Fiscal year end
# of Employees
114
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
ASHTON THOMAS PRIVATE WEALTH
CRD#: 153902Midland, TX 79701TRUST BUT VERIFY
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