DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Stacie Lynn Giddings

Charles Schwab & Co., Inc.national BDCorte Madera, Ca dual registrantIAPD 5036285

Feed of 09/15/2026

Also filed as Stacie Lynn Peterson

At current firm

2 y

since Aug 8, 2024

In the industry

20 y

since Oct 17, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Charles Schwab & Co., Inc. national BD current
since Aug 8, 2024 · Charlotte, Nc
Guardian Wealth Advisors, LLC independent RIA
Oct 25, 2022 to Dec 4, 2023 · Jacksonville, Fl
Perigon Wealth Management, LLC independent RIA
May 10, 2021 to Oct 3, 2022 · Jacksonville Beach, Fl
Td Ameritrade, Inc. former
Jun 28, 2018 to Mar 6, 2020 · Boston, Ma
New England Capital former
Dec 8, 2017 to May 11, 2018 · Northampton, Ma
Redhawk Wealth Advisors, Inc. independent RIA
Nov 10, 2016 to May 25, 2018 · Minneapolis, Mn
Trademark Financial Management, LLC independent RIA
Oct 28, 2014 to Jun 6, 2016 · Bloomington, Mn
Td Ameritrade, Inc. former
Feb 13, 2009 to Apr 1, 2014 · San Diego, Ca
Karstens Investment Counsel, Inc. former
Jan 11, 2006 to Jun 6, 2008 · Omaha, Ne
Westwood Wealth Management mixed wealth
Oct 21, 2005 to Jan 10, 2006 · Omaha, Ne

Moves

a registration end followed by a registration begin elsewhere

Guardian Wealth Advisors, LLC to Charles Schwab & Co., Inc.
left Dec 4, 2023, registered Aug 8, 2024 (248 days) · RIA to affiliated broker-dealer or bank
Perigon Wealth Management, LLC to Guardian Wealth Advisors, LLC
left Oct 3, 2022, registered Oct 25, 2022 (22 days) · RIA to RIA
Td Ameritrade, Inc. to Perigon Wealth Management, LLC
left Mar 6, 2020, registered May 10, 2021 (430 days) · Other
Redhawk Wealth Advisors, Inc. to New England Capital
left May 25, 2018, registered Dec 8, 2017 (-168 days) · Other
New England Capital to Td Ameritrade, Inc.
left May 11, 2018, registered Jun 28, 2018 (48 days) · Other
Trademark Financial Management, LLC to Redhawk Wealth Advisors, Inc.
left Jun 6, 2016, registered Nov 10, 2016 (157 days) · Other
Td Ameritrade, Inc. to Trademark Financial Management, LLC
left Apr 1, 2014, registered Oct 28, 2014 (210 days) · Other
Karstens Investment Counsel, Inc. to Td Ameritrade, Inc.
left Jun 6, 2008, registered Feb 13, 2009 (252 days) · Other
Westwood Wealth Management to Karstens Investment Counsel, Inc.
left Jan 10, 2006, registered Jan 11, 2006 (1 days) · Other

Signals

Stacie Lynn Giddings left Guardian Wealth Advisors, Llc for Charles Schwab & Co., Inc. (registered 2024-08-08)
Dec 4, 2023 · Advisor changed firm · fact
Stacie Lynn Giddings left Perigon Wealth Management, Llc for Guardian Wealth Advisors, Llc (registered 2022-10-25)
Oct 3, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: National broker-dealer RIAderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address