Marc A. Steinman

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CRD#: 1291437

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Marc Aaron Steinman was a registered financial professional .

Marc is a previously registered financial professional and started their career in finance in 1984. Marc had worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

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.

1) StrategIQ Tax and Business Services, LLC, Not Investment Related; 101 E 90th Drive, Merrillville, IN 46410; Entity; Tax Return Preparation; 2021; 20 Hours Per Month; 20 Hours During Trading. 2) WAAM TOPCO, LLC; Not Investment Related; 600 University Park Place, Suite 501 Birmingham, AL 35209; Holding Company; Member; 2024, 0 Hours Per Month; 0 Hours During Trading

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 11, 2024 - June 28, 2024

WAVERLY ADVISORS, LLC

RIA

CRD#: 115332

DEERFIELD, IL

Past

December 10, 2021 - March 23, 2024

STRATEGIQ FINANCIAL GROUP, LLC

RIA

CRD#: 144287

DEERFIELD, IL

Past

March 16, 2007 - December 17, 2021

PERSONAL FINANCIAL PLANNING, INC.

RIA

CRD#: 115605

DEERFIELD, IL

Past

December 17, 1999 - December 31, 2014

PERSONAL FINANCIAL PLANNING, INC.

RIA

CRD#: 115605

DEERFIELD, IL

Past

December 9, 1994 - May 10, 1999

MERCER ALLIED COMPANY, L.P.

CRD#: 37404

COHOES, NY

Past

September 24, 1984 - December 9, 1994

MERCER ALLIED CORPORATION

CRD#: 7829

ALBANY, NY

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".

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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

What does exam status mean?

State Security Law Exam

Series 65

Status Unavailable

Passed: 8/9/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Status Unavailable

Passed: 2/21/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 9/15/1984

General Securities Representative Examination

Current Firm

WAVERLY ADVISORS, LLC

CRD#: 115332 / SEC#: 801-60741

RIA

Registered Investment Advisory firm - (11/30/2001 Approved)

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Contact information

Main Address

600 University Park Place Suite 501, Birmingham, AL 35209

Mailing Address

Phone number

(205) 871-3334

Established

Firm type

Fiscal year end

# of Employees

414

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WAVERLY ADV PART 2A BROCHURE (8/31/2026)

Regulatory assets under management

Total Number of Accounts	35,709
AUM (Assets Under Management)	$ 29,872,072,116

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/31/2026	Cover Page	Report
02/27/2025	Cover Page	Report
02/16/2024	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Marc A. Steinman

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

STRATEGIQ FINANCIAL GROUP, LLC

PERSONAL FINANCIAL PLANNING, INC.

PERSONAL FINANCIAL PLANNING, INC.

MERCER ALLIED COMPANY, L.P.

MERCER ALLIED CORPORATION

Primary Firm SEC Registration

WAVERLY ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Passed: 8/9/1996

Series 63

Passed: 2/21/1985

Series 7

Passed: 9/15/1984

Current Firm

WAVERLY ADVISORS, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WAVERLY ADVISORS, LLC

TRUST BUT VERIFY

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