Alison Nicole Stine

Employer firm

Gwn Securities Inc. CRD 128929

$4.75B regulatory AUM 54 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2014 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 07/2014 → 10/2020
  Equitable Advisors, Llc
  New York, NY
• 11/2020 → Present
  Gwn Securities, Inc.
  Palm Beach Gardens, FL

Previous Registrations

• 2015-09-15 → 2020-10-20
  Equitable Advisors, Llc
  Scottsdale, AZ
  Tucson, AZ
  Scottsdale, AZ
  Tucson, AZ
  Scottsdale, AZ
  Tucson, AZ

Other Businesses

INSURANCE PRODUCTS POSITION: Insurance Agent NATURE: To provide Life, Accident, Health, & Long-Term Care insurance offerings to clients. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2014 ADDRESS: 8129 E Cypress St, SCOTTSDALE AZ 85257, United States DESCRIPTION: I am Life, Accident, Health, & Long-Term Care Insurance licensed and will provide Life Insurance options to clients when suitable. BOYS & GIRLS CLUB OF GREATER SCOTTSDALE Is Not Investment Related, Volunteer, Associate Board Member, 2023-07-11, 4 hours per month, 0 hours per month during trading hours, No Compensation Compensation, "I was recently asked to join the Boys & Girls Clubs of Greater Scottsdale Associate Board, my involvement would begin on July 11th, 2023. This group helps support the clubs around Scottsdale and puts on a golf tournament in the Spring. The Associate Board is a 40 hour per year commitment, as a prospective Board Member I would help them plan and strategize for their 4 big events each year. The Boys & Girls Clubs of Greater Scottsdale's mission is to enable all young people, especially those who need us most, to reach their full potential as productive, caring, responsible citizens. Associate Board members partner in their work to provide a positive environment, quality programs, and lifelong learning skills for school-age youth." STINE WEALTH MANAGEMENT, Is Investment Related, DBA, Financial Professional, 11/11/2020,160 hours per month, 160 hours per month during trading hours, Commission Compensation, Securities DBA used in conjunction with Investment Sales. STINE WEALTH MANAGMET LLC Is Investment Related, "6991 E Camelback Rd, Ste D-300, Scottsdale, AZ, 85251, United States", Finance and Insurance, Member and Manager, 2020-12-17, 0 hours per month, hours per month during trading hours, Fee Based Compensation, "This is my Domestic Professional LLC registered with the Arizona Corporation Commission. My CPA suggested that I open this LLC for tax and legal purposes. I am the only member of the LLC and also the manager. Stine Wealth Management is my company name that I operate my financial advising company under, working with clients to help them with their retirement and investment plans."

Exams

• S66 Uniform Combined State Law Examination
  2015-09-03
• S63 Uniform Securities Agent State Law Examination
  2014-08-14

Designations

• Certified Financial Planner

Other Names

• Alison Nicole Althof