Jeffrey Stemler

Some features on this profile are disabled

CRD#: 1038848

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jeffrey Stemler, CFP®, who also goes by Jeff Stemler, was a registered financial professional .

Jeffrey is a previously registered financial professional and started their career in finance in 1982. Jeffrey had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeff Stemler

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®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Past

November 15, 2016 - March 30, 2020

TAVERIK CAPITAL, LLC

RIA

CRD#: 156594

GREENVILLE, SC

Past

March 25, 2009 - November 7, 2016

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

POWAY, CA

Past

February 22, 2008 - November 7, 2016

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

POWAY, CA

Past

February 19, 2008 - March 25, 2009

MADISON AVENUE ADVISORS, INC.

RIA

CRD#: 137461

SAN DIEGO, CA

Past

September 20, 2005 - April 27, 2006

BROOKLIGHT PLACE SECURITIES, INC.

CRD#: 15764

FOUNTAIN HILLS, AZ

Past

April 30, 2002 - September 19, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

August 2, 1999 - September 19, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

LA JOLLA, CA

Past

March 2, 1999 - September 19, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

May 17, 1994 - March 5, 1999

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

October 12, 1982 - March 21, 1994

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

April 30, 1982 - June 22, 1982

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

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".

TAVERIK CAPITAL, LLC

TAVERIK CAPITAL, LLC | WEIR CAPITAL MANAGEMENT | WCM GLOBAL WEALTH, LLC | WCM GLOBAL WEALTH

CRD#: 156594 / SEC#: 801-117029

RIA

Registered Investment Advisory firm - (7/25/2019 Approved)

Alaska

Registered Investment Advisory firm - (9/16/2019 Terminated)

California

Registered Investment Advisory firm - (10/16/2019 Terminated)

Georgia

Registered Investment Advisory firm - (10/31/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (9/16/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 5/5/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/15/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/16/1985

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 10/20/1982

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 4/29/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TAVERIK CAPITAL, LLC

TAVERIK CAPITAL, LLC | WEIR CAPITAL MANAGEMENT | WCM GLOBAL WEALTH, LLC | WCM GLOBAL WEALTH

CRD#: 156594 / SEC#: 801-117029

RIA

Registered Investment Advisory firm - (7/25/2019 Approved)

Alaska

Registered Investment Advisory firm - (9/16/2019 Terminated)

California

Registered Investment Advisory firm - (10/16/2019 Terminated)

Georgia

Registered Investment Advisory firm - (10/31/2019 Terminated)

South Carolina

Registered Investment Advisory firm - (9/16/2019 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

201 Riverplace Suite 500, Greenville, SC 29601

Mailing Address

Phone number

(864) 967-9838

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WCM GLOBAL WEALTH, LLC - PART 2A (6/4/2025)

Regulatory assets under management

Total Number of Accounts	379
AUM (Assets Under Management)	$ 104,247,785

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jeffrey Stemler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE ADVISORS, INC.

BROOKLIGHT PLACE SECURITIES, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

OSAIC FA, INC.

NYLIFE SECURITIES LLC

CINCINNATI ANALYSTS, INC.

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

TAVERIK CAPITAL, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/5/1997

Series 63

Date: 8/15/1994

SIE

Date: 11/7/2016

Series 7

Date: 11/16/1985

Series 22

Date: 10/20/1982

Series 6

Date: 4/29/1982

Current Firm

TAVERIK CAPITAL, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TAVERIK CAPITAL, LLC

TRUST BUT VERIFY

Similar Advisors