Stephen Matthew Schlichter
Professional Summary
Stephen Matthew Schlichter is a registered financial advisor currently at INDEPENDENCE SQUARE HOLDINGS, LLC located in Pensacola, Florida and LPL FINANCIAL LLC located in Pensacola, Florida. Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
42 years in the financial services industry
Current & Past Employments
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Current Firm
BARNES LANE ADVISORS LLC | TOUEY & COMPANY | THE PLAN ADVOCATE | STRATAVEST | SCHERZER FINANCIAL | MULVANEY WEALTH MANAGEMENT | MILANEK FAMILY WEALTH MANAGEMENT, LLC | INDEPENDENCE SQUARE HOLDINGS, LLC | INDEPENDENCE SQUARE ASSET MANAGEMENT | INDEPENDENCE SQUARE ADVISORS | BRENTON STRANSKY WEALTH MANAGEMENT | BRENTON PRIVATE WEALTH ADVISORS
Contact Information
Main Address
150 South Warner Road Suite 402, King Of Prussia, PA 19406Phone Number
(610) 520-1500# of Employees
37SEC notice filing (28 States and Territories)
Registered to provide investment advisory services in 28 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
2,648AUM (Assets Under Management)
$1,833,978,825Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BARNES LANE ADVISORS LLC | TOUEY & COMPANY | THE PLAN ADVOCATE | STRATAVEST | SCHERZER FINANCIAL | MULVANEY WEALTH MANAGEMENT | MILANEK FAMILY WEALTH MANAGEMENT, LLC | INDEPENDENCE SQUARE HOLDINGS, LLC | INDEPENDENCE SQUARE ASSET MANAGEMENT | INDEPENDENCE SQUARE ADVISORS | BRENTON STRANSKY WEALTH MANAGEMENT | BRENTON PRIVATE WEALTH ADVISORS
State Registrations and Notice Filings
(8/10/2016)
(1/11/2016)
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(12/16/2016)
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(11/11/2019)
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(6/24/2019)
(1/11/2016)
(4/4/2017)
(12/21/2015)
(1/13/2020)
(1/11/2016)
(1/11/2016)
(1/11/2016)
(1/11/2016)
(1/11/2016)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Mar 1985About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1984About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen Matthew Schlichter's CRS (Customer Relationship Summary).
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