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Harrison, AR • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2015-09-02 |
| MO | RA | APPROVED | 2015-08-31 |
| AR | RA | APPROVED | 2015-08-24 |
Branch Locations
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Stone Financial & Tax Center | Harrison | AR | 11/2005 | Present |
| Stone Financial And Wealth Advisors, Llc | Harrison | AR | 07/2012 | Present |
| Stone Financial And Wealth Advisors, Llc | Harrison | AR | 05/2018 | Present |
1) FOUR STONE PROPERTIES, LLC; HARRISON, AR; NOT INVESTMENT RELATED; REAL ESTATE HOLDINGS AND RENTAL; OWNER/PRESIDENT; 50%; 10/14/09; 5HRS/MONTH; 0.25HRS/TRADING 2) INDEPENDENT INSURANCE AGENT; HARRISON, AR; NOT INVESTMENT RELATED; HEALTH AND LIFE INSURANCE SALES - BLUE CROSS,UNITED HEALTH AND MUTUAL OF OMAHA MEDICARE SUPPLEMENT; 01/01/09; 5HRS/MONTH; .10HRS/TRADING 3) STONE FINANCIAL AND CAPITAL CORPORATION; HARRISON, AR; 09/25/12; INVESTMENTS; CEO-100% OWNER; COMPANY WILL INVEST IN STOCKS, MUTUAL FUNDS, BONDS, COMMODITIES, AND OTHER FINANCIAL INSTRUMENTS; 10HRS/MONTH; 1HR/TRADING 4) CFO; Stone Financial Management Group LLC; Investment Related: No; 3315 E Ridgeview, Suite 2000 Springfield MO 656804; Management consulting business that works in partnership with my CPA firm Stone Financial and Tax Center, PLLC. ; Duties: I manage all the finances of the entity; 2023-06-13; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 25; 5) Scott Stone as an Accounting Advisory Director at a CPA on FIre; Is the business investment related: No; Location of the business: 1535 N River Rd Freemont OH 43420; Description of the business: Virtual VPA firm; Position Title: Accounting Advisory Director; Responsibilities Duties: Virtual CPA Advisory Services; Start date with business: 2024-08-16; Hours per month devoted to business during trading hours: 130; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 48.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-12-13 |
| S65 | Uniform Investment Adviser Law Examination | 2007-08-03 |
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