Stephen A. Mikez

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CRD#: 1441159

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen Allen Mikez was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 9 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 5, 2016 - March 11, 2021

CONFLUENCE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 146019

Lombard, IL

Past

April 20, 2006 - March 22, 2007

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA

CRD#: 138756

BOSTON, MA

Past

January 5, 2006 - April 20, 2006

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

December 9, 2005 - March 22, 2007

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

April 4, 2000 - May 2, 2000

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

July 22, 1998 - February 2, 1999

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

September 10, 1997 - July 22, 1998

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

October 30, 1991 - April 17, 1996

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

January 21, 1986 - August 20, 1991

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

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".

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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 66

Date: 1/4/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/7/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/8/2005

General Securities Representative Examination

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

CONFLUENCE CAPITAL MANAGEMENT LLC | CONFLUENCE INVESTMENT MANAGEMENT LLC | CONFLUENCE INVESTMENT ADVISORS LLC

CRD#: 146019 / SEC#: 801-68723

RIA

Registered Investment Advisory firm - (1/10/2008 Approved)

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Contact information

Main Address

20 Allen Avenue, Ste 300, Saint Louis, MO 63119

Mailing Address

Phone number

(314) 743-5090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CONFLUENCE DISCLOSURE BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	16,134
AUM (Assets Under Management)	$ 7,251,904,123

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

Stephen A. Mikez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI DISTRIBUTOR US, INC.

SUNAMERICA SECURITIES, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

WOODBURY FINANCIAL SERVICES, INC.

INVESCO DISTRIBUTORS, INC.

INVESCO CAPITAL MARKETS, INC.

Primary Firm SEC Registration

CONFLUENCE INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/2006

Series 63

Date: 2/7/1986

Series 7

Date: 12/8/2005

Current Firm

CONFLUENCE INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CONFLUENCE INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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