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Peter Frederic Steger

KINGSWOOD WEALTH ADVISORS
Chicago, IL
·CRD# 1179788·43 years experience

Professional Summary

Peter Frederic Steger, who also goes by Peter Frederic Steger, is a registered financial advisor currently at KINGSWOOD WEALTH ADVISORS, LLC located in Chicago, Illinois and KINGSWOOD CAPITAL PARTNERS, LLC located in Chicago, Illinois. Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Peter has worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Peter Frederic Steger

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Contact Information

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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.

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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Years of Experience

43 years in the financial services industry

Current & Past Employments

KINGSWOOD WEALTH ADVISORS, LLC·CRD# 288792
RIA
120 S Lasalle Suite 1710, Chicago, IL 60603
March 1, 2019 - Present
KINGSWOOD CAPITAL PARTNERS, LLC·CRD# 288898
BD
217 N. Jefferson Suite 450, Chicago, IL 60661
March 1, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.·CRD# 134139
RIA
Chicago, IL
February 25, 2011 - March 11, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.·CRD# 39543
BD
Chicago, IL
February 25, 2011 - March 11, 2019
VALMARK ADVISERS, INC.·CRD# 108050
RIA
Chicago, IL
October 10, 2007 - February 28, 2011
VALMARK SECURITIES, INC.·CRD# 31243
BD
Chicago, IL
October 3, 2007 - February 28, 2011
NEW ENGLAND SECURITIES·CRD# 615
RIA
Chicago, IL
September 15, 1997 - October 3, 2007
NEW ENGLAND SECURITIES·CRD# 615
BD
Chicago, IL
January 4, 1996 - October 3, 2007
NEW ENGLAND SECURITIES·CRD# 615
BD
August 24, 1983 - December 31, 1995

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Current Firm

KW
KINGSWOOD WEALTH ADVISORS, LLC

3G WEALTH | ZACCARDO WEALTH MANAGEMENT | VSL WEALTH ADVISORY LLC | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | TB HERBERT FINANCIAL | SUTTER WEALTH MANAGEMENT | STERZING FINANCIAL GROUP | STERN INVESTMENTS, LLC | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | SAGE MONEY ADVICE | ROHR CAPITAL MANAGEMENT | RMV SECURITIES LLC | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RAPPAPORT WEALTH MANAGEMENT | RANDIE J ENTERPRISES/RJE | RANDIE J ENTERPRISE.RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | NOBLE CLUB FINANCIAL SERVICES LLC | MIAMI SHORES WEALTH MANAGEMENT | LOWREY WEALTH MANAGEMENT | LOWERY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIFETRUST WEALTH ADVISORS, LLC | LIBERTY WEALTH MANAGEMENT | LE'AHI PRIVATE WEALTH | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICES | KINGSWOOD FAMILY OFFICE | KING FINANCIAL INVESTMENTS | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | H. PRIVATE WEALTH | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FINANCIAL & RETIREMENT STRATEGIES | FERNEAU ASSET MANAGEMENT | FALKE WEALTH MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | CAPITAL INSURANCE & INVESTMENT PLANNING | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BOARDWALK CAPITAL MANAGEMENT | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT

CRD#: 288792 / SEC#: 801-110755
RIA
Registered Investment Advisory firm - SEC (7/3/2017 Approved)
Arizona
Registered Investment Advisory firm - Arizona (1/31/2018 Terminated)
District of Columbia
Registered Investment Advisory firm - District of Columbia (1/31/2018 Terminated)
Maryland
Registered Investment Advisory firm - Maryland (3/2/2018 Terminated)
Michigan
Registered Investment Advisory firm - Michigan (1/26/2018 Terminated)
West Virginia
Registered Investment Advisory firm - West Virginia (1/31/2018 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).

Contact Information

Main Address

11440 W. Bernardo Court Suite 300, San Diego, CA 92127

Mailing Address

126 E 56th Suite 3l, New York, NY 10022

Phone Number

(800) 535-6981

# of Employees

88

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MARCH 2025 (9/22/2026)

Regulatory Assets Under Management

Total Number of Accounts

12,273

AUM (Assets Under Management)

$3,800,734,890

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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.

1)STEGER FINANCIAL GROUP, 120 SOUTH LASALLE, STE 1710, CHICAGO, IL, 4/1983 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 1500/YR - 1200/TRADING. 2)HUTCHCRAFT VAN LINES, 1614 N LINCOLN, URBANA, IL, 1/1995 AS BOARD MEMBER, NIR - 10/YR - 0/TRADING. 3)KAPPA KAPPA OF SIGMA CHI HOUSE CORPORATION BOARD, 401 E JOHN ST, CHAMPAIGN, IL, 1/1995 AS BOARD MEMBER & PRESIDENT. NIR -NPO - 30 HR/YR - 0/TRADING. 4)THE EFFICIENT EDGE, 120 S LASALLE, STE 1710, CHICAGO, IL, 1/2010 AS PRESIDENT. LLC creates actuarial based strategies to optimize return on capital invested in life insurance. inv rel - 10 hr/wk - 2/trading. 5)LOYOLA ACADEMY, 1100 LARAMIE, WILMETTE, IL 60091. BEGAN 3/1/11 AS A VOLUNTEER COACH FOR FRESHMAN BASEBALL TEAM. NOT INVESTMENT RELATED. DEVOTES 6HR/WK, 0/TRADE. 6)JOHN AND ELIZABETH JONES GRANDCHILDREN TRUST 1992, GLENVIEW, IL. BEGAN ON 1/1/92 AS TRUSTEE. TRUSTEE MANAGEMENT OF THE DISTRIBUTION OF ANY MONIES, SIGN TAX RETURNS, SIGN STOCK AGREEMENT DOCUMENTS. ACTING AS TRUSTEE FOR GRANDCHILDREN OF THE JONES FAMILY SINCE 1992. 5 HRS/YEAR, NONE DURING TRADING. 7.STEGER FINANCIAL GROUP, 120 S LASALLE, STE 1710, CHICAGO, IL, 2/2009 AS PRESIDENT, PROVIDING BUSINESS MARKETING CONSULTING SERVICES. NIR - 20/YR - 12/TRADING. 8) International Legacy Solutions - Yes investment related - 120 S LaSalle, Suite 1710, Chicago, IL 60603 - Traditional & private life insurance - Business development - 10/1/20 - 40/hrs month - 35/hrs a month during trading hrs - I am in a business development role conducting myself as an insurance specialist who is licensed to sell VA life insurance. I will receive fixed life insurance or VA life insurance commissions with variable life commissions paid through my BD. There may also be trail fees based on assets which will be paid through my BD.

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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".
KW
KINGSWOOD WEALTH ADVISORS, LLC

3G WEALTH | ZACCARDO WEALTH MANAGEMENT | VSL WEALTH ADVISORY LLC | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | TB HERBERT FINANCIAL | SUTTER WEALTH MANAGEMENT | STERZING FINANCIAL GROUP | STERN INVESTMENTS, LLC | STEPHENS INVESTMENTS & WEALTH MANAGEMENT SOLUTIONS | STEPHAN AND ASSOCIATES WEALTH MANAGEMENT | STEGER FINANCIAL GROUP/THE EFFICIENT EDGE | SOUTHERN EDGE WEALTH SOLUTIONS | SIMINOU WEALTH MANAGEMENT | SECURIET WEALTH | SECURIAN WEALTH | SAGE MONEY ADVICE | ROHR CAPITAL MANAGEMENT | RMV SECURITIES LLC | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RAPPAPORT WEALTH MANAGEMENT | RANDIE J ENTERPRISES/RJE | RANDIE J ENTERPRISE.RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | NOBLE CLUB FINANCIAL SERVICES LLC | MIAMI SHORES WEALTH MANAGEMENT | LOWREY WEALTH MANAGEMENT | LOWERY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIFETRUST WEALTH ADVISORS, LLC | LIBERTY WEALTH MANAGEMENT | LE'AHI PRIVATE WEALTH | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICES | KINGSWOOD FAMILY OFFICE | KING FINANCIAL INVESTMENTS | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | H. PRIVATE WEALTH | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FINANCIAL & RETIREMENT STRATEGIES | FERNEAU ASSET MANAGEMENT | FALKE WEALTH MANAGEMENT | FAISON WEALTH STRATEGY | ENDEAVOR INVESTMENT RESOURCES | ELEVATE WEALTH MANAGEMENT | DYNAMIC FINANCIAL | DEFREZE FINANCIAL SERVICES | DANNAH INVESTMENTS | COMPLETE WEALTH 360 | CHALICE WEALTH ADVISORS, LLC | CHALICE WEALTH ADVISORS | CARDINAL CAPITAL PARTNERS | CAPITAL INSURANCE & INVESTMENT PLANNING | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | BOARDWALK CAPITAL MANAGEMENT | BLUEPRINT WEALTH SOLUTIONS | BLUEPOINT WEALTH MANAGEMENT | BIRCHWOOOD WEALTH ADVISORS | BIANCHI FINANCIAL PARTNERS | BANNER WEALTH AND LEGACY PLANNING | APEX FINANCIAL | ANDERSON TEAM FINANCIAL | ANDERSON FINANCIAL GROUP | ADMIRALTY WEALTH MANAGEMENT

CRD#: 288792 / SEC#: 801-110755
RIA
Registered Investment Advisory firm - SEC (7/3/2017 Approved)
Arizona
Registered Investment Advisory firm - Arizona (1/31/2018 Terminated)
District of Columbia
Registered Investment Advisory firm - District of Columbia (1/31/2018 Terminated)
Maryland
Registered Investment Advisory firm - Maryland (3/2/2018 Terminated)
Michigan
Registered Investment Advisory firm - Michigan (1/26/2018 Terminated)
West Virginia
Registered Investment Advisory firm - West Virginia (1/31/2018 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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(3/16/2023)
IAR
Florida
(9/7/2023)
RR
Illinois
(3/1/2019)
IAR
Illinois
(3/1/2019)
RR
Missouri
(10/23/2024)
RR
Texas
(8/16/2023)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1983About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Peter Frederic Steger's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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