Steven M. Dabbs

LTC WEALTH MANAGEMENT

Tempe, AZ

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CRD#: 1258864

Professional summary

Steven Michael Dabbs, AIF® is a registered financial advisor currently at LTC WEALTH MANAGEMENT, LLC located in Tempe, Arizona.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Steven has worked at 6 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

01/1998: B-USA INSURANCE SERVICES,INC., 7329 S. STANLEY PLANE, TEMPLE, AZ. PRESIDENT. FIXED ANNUITY AND LIFE INSURANCE BROKERAGE. FULL TIME, DURING TRADING HOURS. 06/2009: BROKERAGE USA, LLC. 7329 S. STANLEY PLANE, TEMPLE, AZ. OWNER. MANAGING MEMBER. INSURANCE SALES. CURRENTLY SPEND ZERO TIME WITH LLC. ANY WORK DONE WILL BE DURING TRADING HOURS. 01/2009: CHARITABLE PLANNING CONCEPTS, LLC. 7329 S. STANLEY PLANE, TEMPLE, AZ. MANAGING MEMBER. INSURANCE SALES. CURRENTLY SPEND ZERO TIME WITH LLC. ANY WORK DONE WILL BE DURING TRADING HOURS. 7/2012: EXECUTIVE BENEFIT PLANS INC. TEMPE, AZ. NON-PAID STATUTORY AGENT. CURRENTLY SPEND ZERO TIME WITH EXECUTIVE BENEFIT PLANS, INC. 10/2010: THE SAFE MONEY SHOP, LLC., TEMPE, AZ., THIS IS A DBA AND DOES NOT HAVE ANY INCOME. RETAIL LIFE AND ANNUITY SALES, MANAGING MEMBER. NON-INVESTMENT RELATED. ANYTIME SPENT IS DURING WORKING HOURS. 02/2010: PARENTS PLUS PLACEMENT LLC., TEMPE, AZ. THIS IS A DBA AND DOES NOT HAVE ANY INCOME. SENIOR RESIDENTIAL PLACEMENT SERVICE, MANAGING MEMBER. NON-INVESTMENT RELATED. ANYTIME SPENT IS DURING WORKING HOURS. 04/2012: CARE OPTIONS INTERNATIONAL LLC., TEMPE, AZ. THIS IS A DBA AND DOES NOT HAVE ANY INCOME. SENIOR RESIDENTIAL PLACEMENT SERVICE, MANAGING MEMBER. NON-INVESTMENT RELATED. ANYTIME SPENT IS DURING WORKING HOURS. 04/2012: ARIZONA VETERANS LLC., TEMPE, AZ. THIS IS A DBA AND DOES NOT HAVE ANY INCOME. MANAGING MEMBER, NON INVESTMENT RELATED. ALL TIME IS SPENT DURING WORKING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Dabbs'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®

CRD#: 14363

RICHMOND, VA

Past

March 14, 1985 - October 10, 1988

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

CRD#: 5774

Past

April 4, 1984 - December 27, 1984

LEHMAN BROTHERS DISTRIBUTORS INC.

CRD#: 8441

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.

Highlighted states indicate IAR registrations

IAR

Arizona
(1/1/2018)

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 65

Date: 12/8/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/20/1993

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Current Firm

LTC WEALTH MANAGEMENT, LLC

CRD#: 290672 / SEC#:

Arizona

Registered Investment Advisory firm - (1/1/2018 Approved)

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Contact information

Main Address

Tempe, AZ

Mailing Address

Phone number

(480) 967-8477

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	18
AUM (Assets Under Management)	$ 3,321,011

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Steven M. Dabbs

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Dabbs's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC

LEGACY PLANNING CONCEPTS, LLC

LEGACY PLANNING CONCEPTS, LLC

FORTH FINANCIAL SECURITIES, CORPORATION

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

LEHMAN BROTHERS DISTRIBUTORS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2009

Series 63

Date: 1/28/1994

Series 6

Date: 12/20/1993

Series 7

Date: 3/17/1984

Current Firm

LTC WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LTC WEALTH MANAGEMENT, LLC

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