Steven D. Eklund

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CRD#: 1142558

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.

Steven Duane Eklund was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 1983. Steven had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 15, Series 3 and Series 7 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.

STEVEN D EKLUND (INSURANCE AGENT) POSITION: Agent NATURE: Receipt of trails, etc., from policies written under Tridea. INVESTMENT RELATED: No. No trading or working hours used for this activity, as it's trails only. ADDRESS: 1013 Galleria Blvd, Suite 210, Roseville CA 95678

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

January 30, 2024 - June 5, 2025

ALLWORTH FINANCIAL, L.P.

RIA

CRD#: 111167

Roseville, CA

Past

January 30, 2024 - June 5, 2025

AW SECURITIES

CRD#: 103747

ROSEVILLE, CA

Past

November 6, 2020 - January 19, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

ROSEVILLE, CA

Past

November 6, 2020 - January 19, 2024

ARBOR POINT ADVISORS

RIA

CRD#: 165127

ROSEVILLE, CA

Past

November 6, 2020 - January 19, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

ROSEVILLE, CA

Past

November 7, 2011 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

AUBURN, CA

Past

November 7, 2011 - November 6, 2020

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

AUBURN, CA

Past

February 11, 2011 - November 7, 2011

AUBURN TRIDEA

RIA

CRD#: 142733

AUBURN, CA

Past

July 23, 2007 - December 31, 2010

AUBURN TRIDEA

RIA

CRD#: 142733

AUBURN, CA

Past

June 23, 2006 - November 9, 2011

OSAIC WEALTH, INC.

RIA

CRD#: 23131

AUBURN, CA

Past

June 23, 2006 - November 9, 2011

OSAIC WEALTH, INC.

CRD#: 23131

AUBURN, CA

Past

January 29, 2004 - June 26, 2006

KMS FINANCIAL SERVICES, INC.

RIA

CRD#: 3866

WALNUT CREEK, CA

Past

January 8, 2004 - June 26, 2006

KMS FINANCIAL SERVICES, INC.

CRD#: 3866

WALNUT CREEK, CA

Past

December 6, 2002 - December 10, 2003

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

July 22, 2002 - December 17, 2002

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

December 18, 2001 - May 8, 2002

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

March 2, 2001 - October 30, 2001

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

Past

December 1, 2000 - March 1, 2001

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

May 13, 1996 - December 31, 2000

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

January 23, 1989 - February 21, 1996

SECURITY DISTRIBUTORS

CRD#: 3336

TOPEKA, KS

Past

June 22, 1983 - February 17, 1988

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

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".

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 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 66

Date: 1/27/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/6/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 6/6/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 3

Date: 10/3/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/18/1983

General Securities Representative Examination

Current Firm

ALLWORTH FINANCIAL, L.P.

CRD#: 111167 / SEC#: 801-68255

RIA

Registered Investment Advisory firm - (8/27/2007 Approved)

California

Registered Investment Advisory firm - (8/30/2007 Terminated)

Georgia

Registered Investment Advisory firm - (8/29/2007 Terminated)

Illinois

Registered Investment Advisory firm - (8/29/2007 Terminated)

Texas

Registered Investment Advisory firm - (8/29/2007 Terminated)

Wisconsin

Registered Investment Advisory firm - (8/29/2007 Terminated)

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Contact information

Main Address

340 Palladio Pkwy. Suite 501, Folsom, CA 95630

Mailing Address

Phone number

(916) 482-2196

Established

Firm type

Fiscal year end

# of Employees

466

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RETAIL FORM ADV PART 2A: FIRM BROCHURE (7/1/2025)

FORM ADV PART 2A: APPENDIX 1 - WRAP FEE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	64,930
AUM (Assets Under Management)	$ 25,097,132,975

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/05/2025	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 D. Eklund

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AW SECURITIES

SECURITIES AMERICA ADVISORS, INC.

ARBOR POINT ADVISORS

SECURITIES AMERICA, INC.

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

AUBURN TRIDEA

AUBURN TRIDEA

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

KMS FINANCIAL SERVICES, INC.

KMS FINANCIAL SERVICES, INC.

GUARDIAN INVESTOR SERVICES LLC

AMERITAS INVESTMENT COMPANY, LLC

VERAVEST INVESTMENTS, INC.

DIRECTED SERVICES LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

NATIONWIDE SECURITIES, LLC

SECURITY DISTRIBUTORS

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

ALLWORTH FINANCIAL, L.P.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/27/2004

Series 63

Date: 7/6/1983

SIE

Date: 10/1/2018

Series 15

Date: 6/6/1984

Series 3

Date: 10/3/1983

Series 7

Date: 6/18/1983

Current Firm

ALLWORTH FINANCIAL, L.P.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ALLWORTH FINANCIAL, L.P.

TRUST BUT VERIFY

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