Stephen M Erken
CFP®Professional Summary
Stephen M Erken, CFP®, who also goes by Stephen Erken, Steve Erken, is a registered financial advisor currently at MAXELE ADVISORS, LLC located in Webster Groves, Missouri. Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Stephen has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Stephen Erken, Steve Erken
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
39 years in the financial services industry
Current & Past Employments
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Current Firm
CLIENTPOINTE ADVISORS, LLC | MAXELE ADVISORS, LLC
Contact Information
Main Address
20 Allen Avenue Suite 330, Webster Groves, MO 63119Phone Number
(314) 961-1850# of Employees
4SEC notice filing (4 States and Territories)
Registered to provide investment advisory services in 4 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
624AUM (Assets Under Management)
$201,565,331Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
CLIENTPOINTE ADVISORS, LLC | MAXELE ADVISORS, LLC
State Registrations and Notice Filings
(3/29/2018)
(2/7/2013)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Nov 1987About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Stephen M Erken's CRS (Customer Relationship Summary).
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