Steven J. Dryer
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.
Steven James Dryer was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1990. Steven had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 10, 2018 - April 18, 2026
ANNEX WEALTH MANAGEMENT, LLC
June 21, 2018 - December 31, 2018
GROVE POINT INVESTMENTS, LLC
October 31, 2014 - March 1, 2018
LPL FINANCIAL LLC
October 31, 2014 - March 1, 2018
LPL FINANCIAL LLC
April 16, 2014 - November 3, 2014
SII INVESTMENTS, INC.
April 16, 2014 - November 3, 2014
SII INVESTMENTS, INC.
March 28, 2002 - March 26, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 15, 1998 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 23, 1990 - October 24, 1990
ROBERT W. BAIRD & CO. INCORPORATED
February 23, 1990 - March 26, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
ANNEX WEALTH MANAGEMENT, LLC
CRD#: 127987 / SEC#: 801-63505
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
Series 8
Date: 6/25/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ANNEX WEALTH MANAGEMENT, LLC
CRD#: 127987 / SEC#: 801-63505
Contact information
SEC notice filing (33 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 19,997 |
| AUM (Assets Under Management) | $ 6,945,737,689 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2025 | ||
| 05/22/2024 | ||
| 12/18/2023 | ||
| 03/16/2023 |
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.
