PS
Peter F. Steger
KINGSWOOD WEALTH ADVISORS
Chicago, IL 60603
Some features on this profile are disabled
CRD#: 1179788
PS
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Frederic Steger
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.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Peter Frederic Steger'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®
NoneExperience
Current
March 1, 2019 - Present
KINGSWOOD WEALTH ADVISORS, LLC
Office #1: 120 S Lasalle Suite 1710, Chicago, IL 60603RIA
CRD#: 288792
Chicago, IL
Current
March 1, 2019 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 217 N. Jefferson Suite 450, Chicago, IL 60661BD
CRD#: 288898
Chicago, IL
Past
February 25, 2011 - March 11, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
CHICAGO, IL
Past
February 25, 2011 - March 11, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
CHICAGO, IL
Past
October 10, 2007 - February 28, 2011
VALMARK ADVISERS, INC.
RIA
CRD#: 108050
CHICAGO, IL
Past
October 3, 2007 - February 28, 2011
VALMARK SECURITIES, INC.
BD
CRD#: 31243
CHICAGO, IL
Past
September 15, 1997 - October 3, 2007
NEW ENGLAND SECURITIES
RIA
CRD#: 615
CHICAGO, IL
Past
January 4, 1996 - October 3, 2007
NEW ENGLAND SECURITIES
BD
CRD#: 615
CHICAGO, IL
Past
August 24, 1983 - December 31, 1995
NEW ENGLAND SECURITIES
BD
CRD#: 615
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 | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | 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 | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET 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 | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | 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 - (7/3/2017 Approved)Arizona
Registered Investment Advisory firm - (1/31/2018 Terminated)District of Columbia
Registered Investment Advisory firm - (1/31/2018 Terminated)Maryland
Registered Investment Advisory firm - (3/2/2018 Terminated)Michigan
Registered Investment Advisory firm - (1/26/2018 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2018 Terminated)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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
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)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KW
KINGSWOOD WEALTH ADVISORS, LLC
3G WEALTH | UNIVERSITY PLANNING PARTNERS | UNIVERSAL FINANCIAL CONSULTANTS | TRINITY CAPITAL MANAGEMENT | THE COLLINS GROUP | SUTTER WEALTH MANAGEMENT | 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 | ROHR CAPITAL MANAGEMENT | REPUBLIC CAPITAL GROUP | RENAISSANCE DIGITAL INVESTMENTS | RANDIE J ENTERPRISES/RJE | PROVIDENT PLACE WEALTH ADVISORS LLC | PROSPERITY WEALTH MANAGEMENT | PHOENIX ASSET ADVISORS | PCM ASSOCIATES LTD | PARADIGM WEALTH SERVICES, INC. | LOWREY WEALTH MANAGEMENT | LOEFFLER WEALTH MANAGEMENT | LIBERTY WEALTH MANAGEMENT | LAKEVIEW ASSET MANAGEMENT | KINGSWOOD WEALTH ADVISORS, LLC | KINGSWOOD FAMILY OFFICE | JHG FINANCIAL ADVISORS | INTEGRATED FINANCIAL PLANNING CENTER | GUARDIAN | GRANITE BAY CAPITAL MANAGEMENT | GOODSON WEALTH MANAGEMENT | GLENWOOD FINANCIAL PARTNERS | FRAMEPOINT PARTNERS, LP FRAMEPOINT | FOWLER FINANCIAL GROUP LLC | FINANCIAL & RETIREMENT STRATEGIES, INC. | FERNEAU ASSET 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 | BRIDGERLAND FINANCIAL ADVISORS, LLC | BRIDGERLAND FINANCIAL | BREWER WEALTH MANAGEMENT | BOND HARBOR FINANCIAL ADVISORS | 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 - (7/3/2017 Approved)Arizona
Registered Investment Advisory firm - (1/31/2018 Terminated)District of Columbia
Registered Investment Advisory firm - (1/31/2018 Terminated)Maryland
Registered Investment Advisory firm - (3/2/2018 Terminated)Michigan
Registered Investment Advisory firm - (1/26/2018 Terminated)West Virginia
Registered Investment Advisory firm - (1/31/2018 Terminated)Upgrade to AdvisorCheck Premium
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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
Established
Firm type
Fiscal year end
# of Employees
80
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,250 |
| AUM (Assets Under Management) | $ 2,470,940,336 |
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.
