Steven Hefter
Professional summary
Steven Hefter, who also goes by Steven Jeffrey Hefter, is a registered financial advisor currently at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in Highland Park, Illinois.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Steven has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 3 and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Hefter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Hefter's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2019 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #2: 1849 Green Bay Rd Ste 200, Highland Park, IL 60035June 5, 2019 - Present
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
Office #2: 1849 Green Bay Rd Ste 200, Highland Park, IL 60035February 2, 2007 - June 5, 2019
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2007 - June 5, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 8, 1999 - February 6, 2007
MORGAN STANLEY DW INC.
January 25, 1999 - February 6, 2007
MORGAN STANLEY DW INC.
March 17, 1995 - January 26, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 1984 - April 13, 1995
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025 / SEC#: 801-57434, 8-28721
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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(10/8/2025)
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(7/23/2020)
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Exams
Series 5
Date: 3/14/1984
Interest Rate Options ExaminationFINRA
Current Firm
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
CRD#: 11025 / SEC#: 801-57434, 8-28721
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory assets under management
| Total Number of Accounts | 401,726 |
| AUM (Assets Under Management) | $ 197,360,196,619 |
Disclosures
| Regulatory Event | 35 |
| Arbitration | 39 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
Company Information
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
PartnerCRD#: 11025Highland Park, ILTRUST BUT VERIFY
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