STOKER OSTLER WEALTH ADVISORS, INC. of SCOTTSDALE, AZ is an SEC-registered investment adviser (CRD 111320). Regulatory assets under management: $3.7B.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth.
Showing 25 of 35 people.
| Name | Role | Location |
|---|---|---|
| Amy Lynn Hale | CHAIR | — |
| Michelle Lee Decker | MANAGING DIRECTOR, CHIEF OPERATING OFFICER AND BOARD MEMBER | — |
| Michael Scott Bolar | CHIEF INVESTMENT OFFICER AND SENIOR PORTFOLIO MANAGER | — |
| Michael Craig Halls | SENIOR PORTFOLIO MANAGER | — |
| Charles M Cassinelli | BOARD MEMBER | — |
| Wallace William Harris | DIRECTOR AND BOARD MEMBER | — |
| George Patrick Lace | CHIEF FINANCIAL OFFICER | — |
| Jeffrey Paul Pruitt | CHIEF COMPLIANCE OFFICER | — |
| Dean Allan Folias | CHIEF COMPLIANCE OFFICER | — |
| MURPHY BRIAN JOSEPH | TAX | — |
| OSTLER CREG DONALD | MANAGING DIRECTOR; MANAGING PARTNER; PRINCIPAL | — |
| STOKER PHILIP MARK | MANAGING DIRECTOR; MANAGING PARTNER; PRINCIPAL | — |
| DECKER MICHELLE LEE | CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER AND BOARD MEMBER; CHIEF OPERATING OFFICER AND BOARD MEMBER (AS OF 9/9/2013) (+3 more) | — |
| PANTELIS JOANN ANTHONY | CHIEF COMPLIANCE OFFICER | — |
| MISTARZ CECILY MARIE | BOARD MEMBER | — |
| HARRIS LONNIE WILLIAM | DIRECTOR; DIRECTOR AND BOARD MEMBER | — |
| FOLIAS DEAN ALLAN | CHIEF COMPLIANCE OFFICER | — |
| PALMER ANGELA MARIE | CHIEF COMPLIANCE OFFICER | — |
| JENKINS TERRY A | BOARD MEMBER | — |
| FLICK CAROL PEKA | CFO | — |
| WARD CATHERINE MAY | FINANCIAL ADVISOR; MANAGING DIRECTOR AND FINANCIAL ADVISOR; SENIOR FINANCIAL ADVISOR | — |
| MILLER HAROLD | BOARD MEMBER; BOARD MEMBER AND CHAIRMAN | — |
| BOLAR MIKE SCOTT | CHIEF INVESTMENT OFFICER AND PORTFOLIO MANAGER; CHIEF INVESTMENT OFFICER AND SENIOR PORTFOLIO MANAGER; PORTFOLIO MANAGER (+1 more) | — |
| HALLS MICHAEL CRAIG | CHIEF FINANCIAL OFFICER AND PORTFOLIO MANAGER; DIRECTOR AND SENIOR PORTFOLIO MANAGER; PORTFOLIO MANAGER (+1 more) | — |
| MATTEUCCI STEVEN PAUL | CHAIRMAN | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-08-08 | regulatory | THE U.S. COMMODITY FUTURE TRADING COMMISSION ("CFTC") ALLEGED THAT, FROM AT LEAST 2019 THROUGH THEDATE OF THE ORDER, BANK OF MONTREAL ("BMO") (I) FAILED TO KEEP CERTAIN REQUIRED RECORDS IN VIOLATIONOF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE COMMODITY EXCHANGE ACT ("CEA") AND CFTCREGULATIONS… | Final | $35.0M |