Stephen J. Resch

RESCH FINANCIAL GROUP

Thompsons Station, TN

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CRD#: 1066945

Professional summary

Stephen James Resch is a registered financial advisor currently at RESCH FINANCIAL GROUP located in Thompsons Station, Tennessee.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Stephen has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Name: Insurance Sales Position: Sales Nature: Insurance Sales Investment Related: No Hours: 1 Securities Trading Hours: 0 Start Date: 01/01/1994 Address: 3150 Hazelton Drive, Thompsons Station TN 37179, United States Description: Occasionally sell fixed annuities to existing investment clients. I do not market for this business. Name: Finance of America Position: Wholesale Sales Nature: Wholesale Reverse Mortgage Lending Investment Related: No Hours: 80 Securities Trading Hours: 40 Start Date: 12/01/2014 Address: 8909 S. Yale Avenue, Tulsa OK 74137, United States Description: I wholesale reverse mortgages to banks and mortgage brokers. I have no consumer contact and do not hold an NMLS license. This is a business to business wholesale relationship only.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen James Resch's CRS (Customer Relationship Summary).

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

Current

November 28, 2023 - Present

RESCH FINANCIAL GROUP

RIA

CRD#: 328873

Thompsons Station, TN

Past

October 30, 2017 - December 31, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

Thompsons Station, TN

Past

October 30, 2017 - December 31, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

THOMPSONS STATIONS, TN

Past

March 31, 2006 - November 1, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

THOMPSONS STATION, TN

Past

March 31, 2006 - November 1, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

THOMPSONS STATION, TN

Past

March 10, 2003 - April 3, 2006

OSAIC FS, INC.

RIA

CRD#: 3870

WINDSOR, CT

Past

July 8, 2000 - April 3, 2006

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

June 5, 1995 - March 31, 2003

POLARIS ADVISORY SERVICES INC

RIA

CRD#: 109435

WINDSOR, CT

Past

January 11, 1995 - July 8, 2000

POLARIS FINANCIAL SERVICES, INC.

CRD#: 14521

CONCORD, NH

Past

October 20, 1994 - December 10, 1994

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

May 21, 1987 - July 25, 1994

T. E. DESMOND CO.

CRD#: 7603

HARTFORD, CT

Past

May 17, 1983 - February 20, 1985

ROCHESTER FUND DISTRIBUTORS

CRD#: 12972

Past

October 1, 1982 - March 21, 1985

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Tennessee
(11/28/2023)

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: 5/16/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/8/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/16/1987

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/30/1982

Investment Company Products/Variable Contracts Representative Examination

Current Firm

RESCH FINANCIAL GROUP

RESCH FINANCIAL GROUP | RESCH FINANCIAL GROUP LLC

CRD#: 328873 / SEC#:

Tennessee

Registered Investment Advisory firm - (11/28/2023 Approved)

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Contact information

Main Address

Thompsons Station, TN

Mailing Address

2000 Mallory Lane, Suite 290 #1352, Franklin, TN 37067

Phone number

(615) 920-1726

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	27
AUM (Assets Under Management)	$ 11,159,982

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
12/26/2024	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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Firm Stability Insights

Stephen J. Resch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen James Resch's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

OSAIC FS, INC.

OSAIC FS, INC.

POLARIS ADVISORY SERVICES INC

POLARIS FINANCIAL SERVICES, INC.

MAIN STREET MANAGEMENT COMPANY

T. E. DESMOND CO.

ROCHESTER FUND DISTRIBUTORS

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/1995

Series 63

Date: 7/8/1987

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/16/1987

Series 6

Date: 9/30/1982

Current Firm

RESCH FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RESCH FINANCIAL GROUP

TRUST BUT VERIFY

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