Stephen L. Schwerin
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 Lytton Schwerin was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1989. Stephen had worked at 16 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2017 - October 5, 2017
ATLANTIS WEALTH ADVISORS LLC
February 13, 2017 - April 17, 2017
NATIONWIDE SECURITIES, LLC
October 23, 2014 - June 6, 2016
FREEDOM INVESTMENT MANAGEMENT, INC.
August 14, 2014 - August 21, 2015
PROSPERITY CAPITAL GROUP, INC.
November 5, 2013 - July 31, 2014
GRADIENT INVESTMENTS, LLC
August 8, 2013 - July 24, 2014
SCHWERIN ADVISORY SOLUTIONS
July 10, 2013 - December 31, 2013
GRADIENT SECURITIES, LLC
September 16, 2008 - July 9, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 16, 2005 - August 5, 2005
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 16, 2004 - July 9, 2013
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
January 26, 2001 - January 21, 2004
EPLANNING SECURITIES, INC.
June 30, 1994 - February 13, 2001
SECURITIES AMERICA, INC.
July 21, 1993 - July 8, 1994
MONTEREY BAY SECURITIES, INC.
March 25, 1993 - July 15, 1993
MARKETING ONE SECURITIES, INC.
November 18, 1991 - November 1, 1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
February 21, 1990 - July 26, 1991
THE ADVISORS GROUP, INC.
October 25, 1989 - March 12, 1990
IDS LIFE INSURANCE COMPANY
October 25, 1989 - March 12, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
ATLANTIS WEALTH ADVISORS LLC
CRD#: 169956 / SEC#: 801-79013
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ATLANTIS WEALTH ADVISORS LLC
CRD#: 169956 / SEC#: 801-79013
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 773 |
| AUM (Assets Under Management) | $ 146,702,423 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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