Steven Waters Stroker
Professional Summary
Steven Waters Stroker was a registered financial advisor. Steven was a previously registered financial professional and started their career in finance 1983 - 2023. Steven had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 15, Series 5, Series 3, Series 7, Series 10, Series 9 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
43 years in the financial services industry
Current & Past Employments
Past
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Current Firm
ARES WEALTH MANAGEMENT SOLUTIONS, LLC | REAL ESTATE INCOME SECURITIES, LLC | DIVIDEND CAPITAL SECURITIES, LLC | BLACK CREEK CAPITAL MARKETS, LLC
Contact Information
Established
Colorado since 12/21/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 15 — Foreign Currency Options Examination
Passed Aug 1991Series 5 — Interest Rate Options Examination
Passed Jun 1985Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jul 1986Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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