Steven L. Spurgeon

SPURGEON FINANCIAL GROUP

STOCKTON, CA 95207

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CRD#: 1259254

Professional summary

Steven Lee Spurgeon is a registered financial advisor currently at SPURGEON FINANCIAL GROUP located in Stockton, California.

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 7 exam.

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.

SPURGEON FINANCIAL GROUP,7825 N. PERSHING AVE., STOCKTON, CA 95207, INVESTMENT RELATED 1/1992. SOLE PROPRIETOR, REGISTERED INVESTMENT ADVISOR, CRD #138174. OWNS RIA THAT INVESTING CLIENT FUNDS ON A FEE BASIS, 65% OF TIME DEVOTED. SENIOR ADVISORY GROUP, 9324 E RAINTREE DR., SUITE 110, SCOTTSDALE, AZ, 1/2005. SELLING OF EQUITY INDEXED ANNUITIES. 35% OF TIME DEVOTED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lee Spurgeon'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®

None

Experience

Current

May 9, 2018 - Present

SPURGEON FINANCIAL GROUP

Office #1: 7825 N. Pershing Avenue, Stockton, CA 95207

RIA

CRD#: 138174

STOCKTON, CA

Past

February 23, 2009 - June 15, 2011

ALLEGIANT SECURITIES L.L.C.

CRD#: 133912

MIAMI, FL

Past

April 28, 1999 - January 25, 2007

FSC SECURITIES CORPORATION

CRD#: 7461

STOCKTON, CA

Past

October 22, 1992 - May 6, 1997

EMMETT A LARKIN COMPANY, INC.

CRD#: 6625

SAN FRANCISCO, CA

Past

October 2, 1986 - August 27, 1992

PACIFIC INLAND SECURITIES CORPORATION

CRD#: 18194

STOCKTON, CA

Past

August 21, 1984 - September 16, 1986

E. F. HUTTON & COMPANY INC

CRD#: 235

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

California
(5/9/2018)

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

General Industry/Product Exam

Series 7

Date: 8/18/1984

General Securities Representative Examination

Current Firm

SPURGEON FINANCIAL GROUP

SPURGEON FINANCIAL GROUP | STEVEN L. SPURGEON SPURGEON FINANCIAL GROUP, INC. | SPURGEON, STEVEN L. SPURGEON FINANCIAL GROUP | SPURGEON, STEVEN L. | SPURGEON FINANCIAL GROUP, INC.

CRD#: 138174 / SEC#:

California

Registered Investment Advisory firm - (1/14/1992 Approved)

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Contact information

Main Address

7825 N. Pershing Ave., Stockton, CA 95207-1749

Mailing Address

7825 N. Pershing Avenue, Stockton, CA 95207-1749

Phone number

209-474-8134 X23

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	440
AUM (Assets Under Management)	$ 35,505,000

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 L. Spurgeon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lee Spurgeon's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPURGEON FINANCIAL GROUP

ALLEGIANT SECURITIES L.L.C.

FSC SECURITIES CORPORATION

EMMETT A LARKIN COMPANY, INC.

PACIFIC INLAND SECURITIES CORPORATION

E. F. HUTTON & COMPANY INC

State Registrations and Notice Filings

Exams

Series 7

Date: 8/18/1984

Current Firm

SPURGEON FINANCIAL GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SPURGEON FINANCIAL GROUP

TRUST BUT VERIFY

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