Stock Traders

Stock Traders provides financial planning and individual portfolio management primarily to individual clients, and also serves pension plans and businesses. Advice is delivered through advisory associates who are also registered securities representatives of the firm’s broker‑dealer, and the firm reported managing roughly $44.35 million across about 91 client relationships as of 12/31/2024.

The firm’s investment oversight is delivered largely on a non‑discretionary basis — it reports $44.35 million in non‑discretionary assets and no discretionary AUM — and employs a mix of fundamental, technical, quantitative and asset‑allocation methods for both long‑ and short‑term strategies. Recommended investments span listed equities, fixed income, mutual funds and ETFs, options, and interests in partnerships (including real estate and oil and gas), with implementation requiring client approval under its non‑discretionary model.

Notable distinctions include the firm’s dual registration as an SEC‑registered investment adviser and a FINRA member broker‑dealer, and that commissions and 12b‑1 fees from brokerage activities represent more than half of the firm’s annual revenue, a potential conflict the brochure discloses and addresses. Advisory personnel also engage in ancillary activities such as insurance sales, tax preparation and real‑estate services, and the combination of broker‑dealer affiliation plus a predominantly non‑discretionary client base is less common among similarly sized supported advisers.