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SW

Stephen G. Widner

NAVY FEDERAL INVESTMENT SERVICES
San Diego, CA 92131
Some features on this profile are disabled
CRD#: 1408199
SW

Professional summary

Stephen Guy Widner, who also goes by Stephen Guy Widner, Steve Widner, Stephen G Winder, is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in San Diego, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Stephen has worked at 12 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen Guy Widner | Steve Widner | Stephen G Winder

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 Guy Widner's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Stephen Guy Widner'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

October 5, 2022 - Present

NAVY FEDERAL INVESTMENT SERVICES, LLC

Office #1: 9999 Willow Creek Road, San Diego, CA 92131
RIA
BD
CRD#: 138459
San Diego, CA
Current

November 24, 2020 - Present

NAVY FEDERAL INVESTMENT SERVICES, LLC

Office #1: 9999 Willow Creek Road, San Diego, CA 92131
RIA
BD
CRD#: 138459
San Diego, CA
Past

February 5, 2020 - July 10, 2020

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
HOUSTON, TX
Past

February 5, 2020 - July 10, 2020

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

June 28, 2007 - July 10, 2020

SORRENTO PACIFIC FINANCIAL, LLC

RIA
CRD#: 127787
SAN DIEGO, CA
Past

June 28, 2007 - July 10, 2020

SORRENTO PACIFIC FINANCIAL, LLC

BD
CRD#: 127787
SAN DIEGO, CA
Past

May 18, 2007 - July 10, 2020

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
SAN DIEGO, CA
Past

August 7, 2000 - July 10, 2020

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
SAN DIEGO, CA
Past

May 22, 1995 - July 25, 2000

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

January 12, 1994 - July 21, 1994

NEW DIMENSION FINANCIAL, INC.

BD
CRD#: 30840
Past

January 7, 1992 - January 31, 1992

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

October 16, 1989 - January 18, 1990

BOUCHER, OEHMKE & COMPANY

BD
CRD#: 17470
Past

May 30, 1989 - August 14, 1989

ADVENT SECURITIES, INC.

BD
CRD#: 16499
Past

June 12, 1987 - May 20, 1989

FIRST EAGLE, INC.

BD
CRD#: 16509
Past

February 20, 1986 - May 15, 1987

MALONE & ASSOCIATES, INC.

BD
CRD#: 10412

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".
NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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
California
(11/24/2020)
IAR
California
(10/5/2022)
RR
Virginia
(11/25/2020)
RR
Washington
(4/14/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 10/31/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/2/1988
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

NF
NAVY FEDERAL INVESTMENT SERVICES, LLC
NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA
Registered Investment Advisory firm - SEC (6/21/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1007 Electric Ave, Vienna, VA 22180
Mailing Address
1007 Electric Ave, Vienna, VA 22180
Phone number
(877) 221-8108
Established
Virginia since 09/06/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
176

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

NFIS 2A DISCLOSURE BROCHURE (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
NAVY FEDERAL FINANCIAL GROUPOWNER
ROSSON, TIMOTHY DAVIDFINOP / PRINCIPAL FINANACIAL OFFICER7152744
WEISBERG, STEVEN LESLIECHIEF COMPLIANCE OFFICER / VP COMPLIANCE, LEGAL & RISK & OPERATIONS6268061
YOUNG, DIANECHIEF OPERATING OFFICER3098010

Regulatory assets under management

Total Number of Accounts7,472
AUM (Assets Under Management)$ 1,713,608,579

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.

Company Information

NAVY FEDERAL INVESTMENT SERVICES, LLC

CRD#: 138459San Diego, CA 92131

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