Steven P. Southworth

PROPOLIS CAPITAL MANAGEMENT

Steamboat Springs, CO 80487

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CRD#: 1095610

Professional summary

Steven Philip Southworth is a registered financial advisor currently at PROPOLIS CAPITAL MANAGEMENT located in Steamboat Springs, Colorado.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Steven has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 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 Philip Southworth'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

October 5, 2005 - Present

PROPOLIS CAPITAL MANAGEMENT

Office #1: 1901 Pine Grove Road, Suite 203, Steamboat Springs, CO 80487

RIA

CRD#: 135574

Steamboat Springs, CO

Past

July 1, 1998 - February 10, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

August 13, 1987 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

January 20, 1983 - June 30, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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

Colorado
(10/5/2005)

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: 8/22/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/18/1982

General Securities Representative Examination

Current Firm

PROPOLIS CAPITAL MANAGEMENT

PROPOLIS CAPITAL MANAGEMENT | PROPOLIS CAPITAL MANAGEMENT, LLC

CRD#: 135574 / SEC#: 801-64388

RIA

Registered Investment Advisory firm - (8/4/2009 Terminated)

Colorado

Registered Investment Advisory firm - (8/1/2009 Approved)

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).

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Contact information

Main Address

1901 Pine Grove Road, Suite 203, Steamboat Springs, CO 80487

Mailing Address

Phone number

(970) 871-1015

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 3,177,089

Red Flags

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

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Steven P. Southworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Philip Southworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

PROPOLIS CAPITAL MANAGEMENT

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2005

Series 63

Date: 5/6/1983

Series 7

Date: 12/18/1982

Current Firm

PROPOLIS CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROPOLIS CAPITAL MANAGEMENT

TRUST BUT VERIFY

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