Steven J. Solmonson

SPECTRUM ASSET MANAGEMENT

Stamford, CT 06905

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CRD#: 1367437

Professional summary

Steven Jay Solmonson is a registered financial advisor currently at SPECTRUM ASSET MANAGEMENT, INC. located in Stamford, Connecticut and SAMI BROKERAGE LLC located in Stamford, Connecticut.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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.

Institutional Sales for Spectrum Asset Management, Inc. ("Spectrum") SAMI Brokerage LLC ("SAMI") is a wholly owned direct subsidiary of Spectrum and is the executing broker for Spectrum.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Jay Solmonson'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

March 6, 2019 - Present

SPECTRUM ASSET MANAGEMENT, INC.

Office #1: 2 High Ridge Park, Stamford, CT 06905

RIA

CRD#: 300463

Stamford, CT

Current

February 16, 2012 - Present

SAMI BROKERAGE LLC

Office #1: 2 High Ridge Park 2nd Floor, Stamford, CT 06905

CRD#: 18217

Stamford, CT

Past

January 23, 2014 - April 11, 2019

SAMI BROKERAGE LLC

RIA

CRD#: 18217

STAMFORD, CT

Past

October 1, 2002 - March 9, 2005

DUBLIND SECURITIES, INC.

CRD#: 32534

GREENWICH, CT

Past

October 2, 1996 - April 10, 2000

VALUE INVESTING PARTNERS, INC.

CRD#: 29737

WESTPORT, CT

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".

SPECTRUM ASSET MANAGEMENT, INC.

PRINCIPAL GLOBAL INVESTORS DBA PRINCIPAL ASSET MANAGEMENT | SPECTRUM ASSET MANAGEMENT, INC.

CRD#: 300463 / SEC#: 801-30405

RIA

Registered Investment Advisory firm - (9/28/1987 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.

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

California
(11/8/2023)

Connecticut
(1/27/2014)

IAR

Connecticut
(3/6/2019)

Delaware
(3/5/2020)

Florida
(1/27/2014)

Georgia
(11/10/2020)

Illinois
(3/4/2020)

Iowa
(1/27/2014)

Kentucky
(5/16/2024)

Minnesota
(2/7/2020)

New York
(1/27/2014)

Pennsylvania
(2/7/2020)

Texas
(5/13/2022)

IAR

Texas
(3/20/2023)

Virginia
(4/14/2022)

Wisconsin
(2/6/2020)

Wyoming
(9/15/2022)

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

State Security Law Exam

IAR

Series 66

Date: 6/19/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/1/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/30/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

SPECTRUM ASSET MANAGEMENT, INC.

PRINCIPAL GLOBAL INVESTORS DBA PRINCIPAL ASSET MANAGEMENT | SPECTRUM ASSET MANAGEMENT, INC.

CRD#: 300463 / SEC#: 801-30405

RIA

Registered Investment Advisory firm - (9/28/1987 Approved)

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Contact information

Main Address

2 High Ridge Park, Stamford, CT 06905

Mailing Address

Phone number

(203) 322-0189

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SPECTRUM FORM ADV PART 2 MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	78
AUM (Assets Under Management)	$ 19,682,004,203

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

Steven J. Solmonson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Jay Solmonson's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAMI BROKERAGE LLC

SAMI BROKERAGE LLC

DUBLIND SECURITIES, INC.

VALUE INVESTING PARTNERS, INC.

Primary Firm SEC Registration

SPECTRUM ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/19/2012

Series 63

Date: 2/24/1997

SIE

Date: 10/1/2018

Series 7

Date: 10/1/1996

Series 24

Date: 5/30/1997

FINRA

Current Firm

SPECTRUM ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPECTRUM ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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