Steven P. Schwefel

GENEVA PARTNERS

Lake Geneva, WI 53147

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CRD#: 1091898

Professional summary

Steven Perry Schwefel is a registered financial advisor currently at GENEVA PARTNERS, LLC located in Lake Geneva, Wisconsin.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Steven has worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 53 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Perry Schwefel's CRS (Customer Relationship Summary).

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

April 18, 2012 - Present

GENEVA PARTNERS, LLC

Office #1: 772 West Main Street Suite 301, Lake Geneva, WI 53147

RIA

CRD#: 130768

Lake Geneva, WI

Past

January 30, 2015 - April 18, 2016

STONEX ADVISORS INC.

RIA

CRD#: 174182

BIRMINGHAM, AL

Past

September 12, 2014 - April 18, 2016

STONEX SECURITIES INC.

CRD#: 18456

LAKE GENEVA, WI

Past

April 8, 2010 - December 31, 2017

GENEVA PARTNERS, LLC

RIA

CRD#: 130768

LAKE GENEVA, WI

Past

March 3, 2004 - January 30, 2015

WRP INVESTMENTS, INC.

RIA

CRD#: 7365

LAKE GENEVA, WI

Past

March 3, 2004 - September 12, 2014

WRP INVESTMENTS, INC.

CRD#: 7365

LAKE GENEVA, WI

Past

April 11, 2003 - April 1, 2004

CERTES CAPITAL SECURITIES, LLC

CRD#: 124392

DEERFIELD, IL

Past

January 8, 2003 - April 7, 2004

HEDEKER WEALTH LLC

RIA

CRD#: 124341

DEERFIELD, IL

Past

May 28, 2002 - December 9, 2003

QA3 FINANCIAL LLC

RIA

CRD#: 104957

DEERFIELD, IL

Past

March 18, 2002 - December 2, 2003

QA3 FINANCIAL CORP.

CRD#: 14754

OMAHA, NE

Past

January 13, 2001 - March 18, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

September 16, 1998 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

October 1, 1990 - August 26, 1998

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

March 14, 1988 - October 2, 1990

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

July 30, 1987 - April 14, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

July 29, 1985 - August 13, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

Past

February 22, 1985 - July 16, 1985

A. G. EDWARDS & SONS, INC.

CRD#: 4

Past

December 5, 1983 - February 28, 1985

H. B. SHAINE & CO., INC.

CRD#: 374

Past

March 1, 1983 - July 16, 1985

USLIFE EQUITY SALES CORP.

CRD#: 7962

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".

GENEVA PARTNERS, LLC

GENEVA PARTNERS OF ILLINOIS | GENEVA PARTNERS, LLC

CRD#: 130768 / SEC#: 801-107776

RIA

Registered Investment Advisory firm - (5/9/2016 Approved)

California

Registered Investment Advisory firm - (8/21/2016 Terminated)

Illinois

Registered Investment Advisory firm - (5/9/2016 Terminated)

Michigan

Registered Investment Advisory firm - (7/25/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/2/2016 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.

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

Illinois
(4/18/2012)

IAR

Wisconsin
(1/29/2018)

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: 10/14/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/3/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/9/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/30/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/9/2002

General Securities Principal Examination

Current Firm

GENEVA PARTNERS, LLC

GENEVA PARTNERS OF ILLINOIS | GENEVA PARTNERS, LLC

CRD#: 130768 / SEC#: 801-107776

RIA

Registered Investment Advisory firm - (5/9/2016 Approved)

California

Registered Investment Advisory firm - (8/21/2016 Terminated)

Illinois

Registered Investment Advisory firm - (5/9/2016 Terminated)

Michigan

Registered Investment Advisory firm - (7/25/2016 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/2/2016 Terminated)

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Contact information

Main Address

772 West Main Street Suite 301, Lake Geneva, WI 53147

Mailing Address

Phone number

(262) 248-1350

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GENEVA PARTNERS PART 2A BROCHURE (3/13/2025)

Regulatory assets under management

Total Number of Accounts	1,252
AUM (Assets Under Management)	$ 387,318,871

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 P. Schwefel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Perry Schwefel's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX ADVISORS INC.

STONEX SECURITIES INC.

GENEVA PARTNERS, LLC

WRP INVESTMENTS, INC.

WRP INVESTMENTS, INC.

CERTES CAPITAL SECURITIES, LLC

HEDEKER WEALTH LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

LEHMAN BROTHERS INC.

J.P. MORGAN SECURITIES LLC

L. F. ROTHSCHILD & CO. INCORPORATED

LEHMAN BROTHERS INC.

A. G. EDWARDS & SONS, INC.

H. B. SHAINE & CO., INC.

USLIFE EQUITY SALES CORP.

Primary Firm SEC Registration

GENEVA PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/14/1992

Series 63

Date: 12/3/1984

SIE

Date: 4/18/2016

Series 3

Date: 9/9/1988

Series 7

Date: 2/19/1983

Series 53

Date: 1/30/2003

Series 24

Date: 12/9/2002

Current Firm

GENEVA PARTNERS, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GENEVA PARTNERS, LLC

TRUST BUT VERIFY

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