Steven L. Colvin

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CRD#: 1035148

Professional summary

Steven Lloyd Colvin was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven Lloyd Colvin was a registered financial advisor .

Steven is a previously registered financial advisor and started their career in finance in 1982. Steven had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 15, 2012 - July 11, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SNOHOMISH, WA

Past

May 15, 2012 - July 11, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SNOHOMISH, WA

Past

October 23, 2009 - May 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SEQUIM, WA

Past

October 23, 2009 - May 17, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SEQUIM, WA

Past

January 5, 2006 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SHORELINE, WA

Past

January 5, 2006 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

SHORELINE, WA

Past

April 28, 2005 - December 31, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

SEATTLE, WA

Past

April 28, 2005 - December 31, 2005

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

November 15, 2004 - April 15, 2005

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

BELLEVUE, WA

Past

October 18, 2004 - April 15, 2005

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

May 11, 2004 - October 5, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SEATTLE, WA

Past

April 21, 2004 - October 5, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 21, 2004 - October 5, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

October 18, 1999 - March 26, 2004

INVESTACORP, INC.

CRD#: 7684

MIAMI, FL

Past

March 9, 1992 - September 25, 1996

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

November 15, 1990 - March 13, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

June 29, 1987 - February 7, 1990

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

October 28, 1986 - July 13, 1987

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

December 20, 1985 - November 7, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

Past

March 1, 1985 - January 7, 1986

FOSTER & MARSHALL INC.

CRD#: 321

Past

February 9, 1984 - November 7, 1986

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

January 20, 1983 - November 1, 1983

FOSTER & MARSHALL INC.

CRD#: 321

Past

March 30, 1982 - July 23, 1982

FOSTER & MARSHALL INC.

CRD#: 321

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/24/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/9/1992

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 6/5/1984

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616 / SEC#: 801-37967, 8-37180

RIA

Registered Investment Advisory firm - SEC (10/5/1990 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205

Mailing Address

One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103

Phone number

(314) 875-3000

Established

Delaware since 03/12/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

19,017

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

WFA RETIREMENT PLAN CONSULTING (9/22/2025)

WFA FA AND CLIENT DIRECTED WRAP FEE BROCHURE (9/22/2025)

WRAP FEE PROGRAM BROCHURE FOR INTUITIVE INVESTOR PROGRAM (9/22/2025)

WFA WRAP FEE BROCHURE FOR PERSONALIZED UMA - FUNDSOURCE - PRIVATE ADVISOR NETWORK - CUSTOMIZED PORTFOLIOS (9/22/2025)

FEE-BASED PLANNING SERVICES (9/2/2025)

WFA INSTITUTIONAL CONSULTING SERVICES (8/4/2025)

Direct owners and executive officers

Name	Position	CRD#
WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC	SOLE MEMBER
CRONK, DARRELL	HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL	2498892
GINDI, SOL	PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL	4903526
KARANIK, ERIK ANTHONY	BOARD OF MANAGERS	2260890
LACEY, PAUL	PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL	5616656
PATEL, RAKESH	CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS	5385585
SAUNDERS, DAVID WARD	DESIGNATED STATE PRINCIPAL	2448617
SOMESHWAR, PRASANNA	HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL	7491790
SOMMERS, BARRY	CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS	2301454
TSAMADIAS, CHRISTOS G	CHIEF COMPLIANCE OFFICER	5433568

Regulatory assets under management

Total Number of Accounts	1,327,695
AUM (Assets Under Management)	$ 606,037,831,365

Disclosures

Regulatory Event	182
Civil Event	2
Arbitration	303

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
12/11/2023	Cover Page	Report
02/17/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Steven L. Colvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

INVESTACORP, INC.

LPL FINANCIAL LLC

UBS FINANCIAL SERVICES INC.

WAMU INVESTMENTS, INC.

WEDBUSH SECURITIES INC.

LEHMAN BROTHERS INC.

FOSTER & MARSHALL INC.

LEHMAN BROTHERS INC.

FOSTER & MARSHALL INC.

FOSTER & MARSHALL INC.

Primary Firm SEC Registration

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2004

Series 63

Date: 10/28/1999

Series 7

Date: 9/24/1999

Series 24

Date: 6/9/1992

Series 8

Date: 6/5/1984

Current Firm

WELLS FARGO CLEARING SERVICES, LLC

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

WELLS FARGO CLEARING SERVICES, LLC

TRUST BUT VERIFY

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