Stacy Fleming has been Chief Compliance Officer of Outlook Wealth Advisors since November 2023, is not listed as a control person, but directly owns under 5% of the firm.
Outlook Wealth Advisors, LLC is a The Woodlands, TX firm with $594M under management, 569 clients and 5 advisers across 7 offices, as of its March 2026 filing.
Stacy Fleming’s longest registration was 3 years at Financial Engines Advisors L.L.C. (2018–2021).
- Financial Engines Advisors L.L.C.– · 3 yearsPurcellville, VA · Adviser representative · Firm CRD 104510
- Edelman Financial Services, LLC– · 1 yearFairfax, VA · Adviser representative · Firm CRD 113299
- Edelman Financial Services, LLC– · under a yearFairfax, VA · Adviser representative · Firm CRD 113299
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 27 May 2015 |
| Series 24 | General Securities Principal Examination | 27 September 2013 |
| Series 7 | General Securities Representative Examination | 13 February 2013 |
| Series 99 | Operations Professional Examination | 30 June 2012 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Operations Professional Examination
- Full name
- Stacy Graves Fleming
- CRD
- 5782272
- Firm
- Outlook Wealth Advisors · CRD 291465
- Role
- Chief Compliance Officer
- Registration
- No current adviser or broker registration
- Disciplinary history
- Not yet shown here · SEC record
Where does Stacy Fleming work?
Stacy Fleming has been Chief Compliance Officer of Outlook Wealth Advisors, LLC since November 2023.
Does Stacy Fleming have a current investment-adviser registration?
Stacy Fleming has no current investment-adviser or broker registration.
What exams has Stacy Fleming passed?
Stacy Fleming has passed 4 licensing exams: the Series 99, Series 7, Series 24 and Series 66. The earliest, the Series 99, was passed in June 2012. FINRA credited Stacy Fleming with the SIE, which began in October 2018.
Where was Stacy Fleming previously registered as an investment adviser?
Stacy Fleming has past investment-adviser registrations through Financial Engines Advisors L.L.C., November 2018 to December 2021; Edelman Financial Services, LLC, February 2017 to November 2018; Edelman Financial Services, LLC, June 2015 to April 2016, across 2 firms.
Is Stacy Fleming registered with FINRA?
No. Stacy Fleming has no current broker registration.
How can I verify Stacy Fleming’s record?
Search CRD 5782272 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stacy Fleming’s full registration record.