Stephen J. Peiffer

SP WEALTH PLANNING

Churchville, PA

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CRD#: 1742574

Professional summary

Stephen Joseph Peiffer is a registered financial advisor currently at SP WEALTH PLANNING located in Churchville, Pennsylvania.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Stephen has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 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.

Stephen Peiffer is currently a licensed insurance agent, however, he no longer sells any insurance products, and is not affiliated with any insurance companies.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Peiffer'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®

None

Experience

Current

December 2, 2022 - Present

SP WEALTH PLANNING

RIA

CRD#: 323658

Churchville, PA

Past

July 25, 2013 - March 3, 2022

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

CHURCHVILLE, PA

Past

July 25, 2013 - March 3, 2022

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

CHURCHVILLE, PA

Past

March 4, 2011 - July 25, 2013

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

PHILADELPHIA, PA

Past

March 4, 2011 - July 25, 2013

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

PHILADELPHIA, PA

Past

January 3, 2011 - March 4, 2011

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

PHILADELPHIA, PA

Past

January 3, 2011 - March 4, 2011

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

PHILADELPHIA, PA

Past

May 14, 2008 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

PHILADELPHIA, PA

Past

August 31, 2005 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

PHILADELPHIA, PA

Past

July 13, 2000 - September 13, 2005

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

April 3, 2000 - July 6, 2000

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

January 24, 1989 - June 27, 1989

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

Past

October 9, 1987 - January 17, 1989

PFS INVESTMENTS INC.

CRD#: 10111

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 Jersey
(8/15/2023)

IAR

Pennsylvania
(12/2/2022)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/13/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/1/2000

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: 1/11/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/1/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/11/2009

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SP WEALTH PLANNING

SP WEALTH PLANNING | SP WEALTH PLANNING LLC

CRD#: 323658 / SEC#:

New Jersey

Registered Investment Advisory firm - (8/14/2023 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/1/2022 Approved)

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Contact information

Main Address

Churchville, PA

Mailing Address

Phone number

(215) 605-8625

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	40
AUM (Assets Under Management)	$ 5,364,664

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 J. Peiffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Peiffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

EMPOWER FINANCIAL SERVICES, INC.

1717 CAPITAL MANAGEMENT COMPANY

THE STUART-JAMES COMPANY, INCORPORATED

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2008

Series 63

Date: 4/1/2000

SIE

Date: 10/1/2018

Series 7

Date: 1/11/2008

Series 6

Date: 4/1/2000

Series 26

Date: 12/11/2009

Current Firm

SP WEALTH PLANNING

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SP WEALTH PLANNING

TRUST BUT VERIFY

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