Stephen H. Lulla

MAIDSTONE WEALTH MANAGEMENT

Cambridge, NY 12816

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CRD#: 1365623

Professional summary

Stephen Howard Lulla is a registered financial advisor currently at MAIDSTONE WEALTH MANAGEMENT, LLC located in Cambridge, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Stephen has worked at 2 firms and has passed the Series 65 and Series 27 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Howard Lulla's CRS (Customer Relationship Summary).

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

August 31, 2021 - Present

MAIDSTONE WEALTH MANAGEMENT, LLC

Office #1: 4 East Main Street Suite B, Cambridge, NY 12816

RIA

CRD#: 291873

Cambridge, NY

Past

April 1, 1987 - October 16, 1991

COWEN EQUITY FINANCE LP

CRD#: 10019

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".

MAIDSTONE WEALTH MANAGEMENT, LLC

CRD#: 291873 / SEC#: 801-133919

RIA

Registered Investment Advisory firm - (8/25/2025 Approved)

New York

Registered Investment Advisory firm - (3/9/2018 Approved)

Texas

Registered Investment Advisory firm - (2/21/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New York
(8/31/2021)

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: 11/12/2017

Uniform Investment Adviser Law Examination

Principal/Supervisory Exam

Series 27

Date: 3/31/1987

Financial and Operations Principal Examination

Current Firm

MAIDSTONE WEALTH MANAGEMENT, LLC

CRD#: 291873 / SEC#: 801-133919

RIA

Registered Investment Advisory firm - (8/25/2025 Approved)

New York

Registered Investment Advisory firm - (3/9/2018 Approved)

Texas

Registered Investment Advisory firm - (2/21/2025 Terminated)

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Contact information

Main Address

4 East Main Street Suite B, Cambridge, NY 12816

Mailing Address

Phone number

(518) 677-7358

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A/2B (3/10/2025)

Regulatory assets under management

Total Number of Accounts	33
AUM (Assets Under Management)	$ 25,479,306

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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Stephen H. Lulla

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Howard Lulla's CRS (Customer Relationship Summary).

Certified licenses

Experience

MAIDSTONE WEALTH MANAGEMENT, LLC

COWEN EQUITY FINANCE LP

Primary Firm SEC Registration

MAIDSTONE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2017

Series 27

Date: 3/31/1987

Current Firm

MAIDSTONE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MAIDSTONE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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