Steven F. Muntin

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CRD#: 1796150

Professional summary

Steven Frederick Muntin was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Steven had worked at 3 firms, which includes TAYLOR & MORGAN ASSET MANAGEMENT LLC, EXECUTIVE ASSET MANAGEMENT INC., OSAIC WEALTH INC..

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

December 2, 2015 - February 18, 2020

TAYLOR & MORGAN ASSET MANAGEMENT, LLC

RIA

CRD#: 156177

FLINT, MI

Past

December 10, 2013 - December 31, 2014

EXECUTIVE ASSET MANAGEMENT, INC.

RIA

CRD#: 119485

FENTON, MI

Past

July 20, 1993 - July 24, 2006

OSAIC WEALTH, INC.

CRD#: 23131

BRIGHTON, MI

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".

TAYLOR & MORGAN ASSET MANAGEMENT, LLC

TAYLOR & MORGAN ASSET MANAGEMENT | TM ADVISORS | TAYLOR & MORGAN WEALTH MANAGEMENT, LLC | TAYLOR & MORGAN QUAYLE FINANCIAL, LLC | TAYLOR & MORGAN ASSET MANAGEMENT, LLC

CRD#: 156177 / SEC#: 801-113195

RIA

Registered Investment Advisory firm - (5/8/2018 Approved)

Michigan

Registered Investment Advisory firm - (5/16/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (5/16/2018 Terminated)

Ohio

Registered Investment Advisory firm - (5/14/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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 65

Date: 11/12/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/25/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/11/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/15/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TAYLOR & MORGAN ASSET MANAGEMENT, LLC

TAYLOR & MORGAN ASSET MANAGEMENT | TM ADVISORS | TAYLOR & MORGAN WEALTH MANAGEMENT, LLC | TAYLOR & MORGAN QUAYLE FINANCIAL, LLC | TAYLOR & MORGAN ASSET MANAGEMENT, LLC

CRD#: 156177 / SEC#: 801-113195

RIA

Registered Investment Advisory firm - (5/8/2018 Approved)

Michigan

Registered Investment Advisory firm - (5/16/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (5/16/2018 Terminated)

Ohio

Registered Investment Advisory firm - (5/14/2018 Terminated)

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Contact information

Main Address

3150 Livernois Rd. Suite 175, Troy, MI 48083

Mailing Address

Phone number

(248) 688-9399

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (10/2/2025)

Regulatory assets under management

Total Number of Accounts	995
AUM (Assets Under Management)	$ 326,999,538

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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Firm Stability Insights

Steven F. Muntin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TAYLOR & MORGAN ASSET MANAGEMENT, LLC

EXECUTIVE ASSET MANAGEMENT, INC.

OSAIC WEALTH, INC.

Primary Firm SEC Registration

TAYLOR & MORGAN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2013

Series 63

Date: 8/25/1993

Series 7

Date: 10/11/2001

Series 6

Date: 7/15/1993

Current Firm

TAYLOR & MORGAN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TAYLOR & MORGAN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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