SS
Stephen M. Schlichter
INDEPENDENCE SQUARE HOLDINGS
Pensacola, FL
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CRD#: 1296548
SS
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.
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.
1. 10/22/2019 - Independence Square Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 2. 1/24/2020 - Independence Square Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 3. 1/24/2020 - Independence Square Holdings LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 11/01/2019 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Independence Square Holdings, LLC, an independent investment advisor firm. I started this business activity in 11/2019. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Matthew Schlichter'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®
NoneExperience
Current
January 13, 2020 - Present
INDEPENDENCE SQUARE HOLDINGS, LLC
RIA
CRD#: 300139
Pensacola, FL
Current
December 21, 2015 - Present
LPL FINANCIAL LLC
Office #2: 150 S Warner Rd Ste 300, King Of Prussia, PA 19406-2859RIA
BD
CRD#: 6413
PENSACOLA, FL
Past
January 15, 2016 - January 14, 2020
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
KING OF PRUSSIA, PA
Past
April 13, 2004 - December 31, 2014
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
POTTSTOWN, PA
Past
September 21, 1998 - January 12, 2016
MAIN LINE FINANCIAL ADVISORS, LLC.
RIA
CRD#: 121583
MALVERN, PA
Past
February 3, 1988 - December 24, 2015
FSC SECURITIES CORPORATION
BD
CRD#: 7461
POTTSTOWN, PA
Past
November 5, 1984 - February 18, 1988
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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".
IS
INDEPENDENCE SQUARE HOLDINGS, LLC
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
CRD#: 300139 / SEC#: 801-116750
RIA
Registered Investment Advisory firm - (6/7/2019 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/10/2016)
RR
California(1/11/2016)
RR
Connecticut(1/11/2016)
RR
Delaware(1/11/2016)
RR
District of Columbia(1/11/2016)
RR
Florida(1/11/2016)
IAR
Florida(9/20/2021)
RR
Georgia(12/16/2016)
RR
Illinois(1/11/2016)
RR
Kentucky(1/11/2016)
RR
Maine(1/11/2016)
RR
Maryland(1/11/2016)
RR
Massachusetts(1/11/2016)
RR
New Hampshire(11/11/2019)
RR
New Jersey(1/11/2016)
RR
New York(1/11/2016)
RR
North Carolina(1/11/2016)
RR
Ohio(6/24/2019)
RR
Oklahoma(1/11/2016)
RR
Oregon(4/4/2017)
RR
Pennsylvania(12/21/2015)
IAR
Pennsylvania(1/13/2020)
RR
Texas(1/11/2016)
RR
Vermont(1/11/2016)
RR
Virginia(1/11/2016)
RR
Washington(1/11/2016)
RR
Wyoming(1/11/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IS
INDEPENDENCE SQUARE HOLDINGS, LLC
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
CRD#: 300139 / SEC#: 801-116750
RIA
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Contact information
Main Address
150 South Warner Road Suite 300, King Of Prussia, PA 19406
Mailing Address
Phone number
(610) 520-1500
Established
Firm type
Fiscal year end
# of Employees
37
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,985 |
| AUM (Assets Under Management) | $ 1,488,010,409 |
Red Flags
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