SD
Steven J. Dryer
ANNEX WEALTH MANAGEMENT
Brookfield, WI 53045
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CRD#: 2003001
SD
Professional summary
Steven James Dryer is a registered financial advisor currently at ANNEX WEALTH MANAGEMENT, LLC located in Brookfield, Wisconsin.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Steven has 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
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.
ANNEX INSURANCE SERVICES POSITION: Dir. of Operations NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 05/29/2018 ADDRESS: 12700 W. Bluemound Rd., Elm Grove WI 53222, United States DESCRIPTION: Support firm's growth initiatives. This is not field facing or client facing. Referee Investment Related: NO Number of Hours: 3 per month Securities Trading Hours: 0 Location: Throughout SE Wisconsin Member of Catholic Memorial High School Investment Committee: This is a non compensated position. Approximately 1 hour per month; as part of a committee, located in Waukesha, WI UW Whitewater College Member of the Advisory Team, Not investment related, This is a non compensated position. Approximately 1 hour per month; as part of a committee, located in Whitewater, WI
CRS (Client Relationship Summary) - RIA
Click below to view Steven James Dryer'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®
NoneExperience
Current
July 10, 2018 - Present
ANNEX WEALTH MANAGEMENT, LLC
Office #1: 17950 W. Corporate Drive Suite 300, Brookfield, WI 53045RIA
CRD#: 127987
Brookfield, WI
Past
June 21, 2018 - December 31, 2018
GROVE POINT INVESTMENTS, LLC
BD
CRD#: 1763
ELM GROVE, WI
Past
October 31, 2014 - March 1, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
BROOKFIELD, WI
Past
October 31, 2014 - March 1, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
BROOKFIELD, WI
Past
April 16, 2014 - November 3, 2014
SII INVESTMENTS, INC.
RIA
CRD#: 2225
BROOKFIELD, WI
Past
April 16, 2014 - November 3, 2014
SII INVESTMENTS, INC.
BD
CRD#: 2225
BROOKFIELD, WI
Past
March 28, 2002 - March 26, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
MILWAUKEE, WI
Past
May 15, 1998 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
February 23, 1990 - October 24, 1990
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
February 23, 1990 - March 26, 2014
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
AW
ANNEX WEALTH MANAGEMENT, LLC
ANNEX ADVISORY SERVICES, LLC | SAVVY - POWERED BY ANNEX WEALTH MANAGEMENT | SAVVY | ANNEX WEALTH MANAGEMENT, LLC | ANNEX IGNITE
CRD#: 127987 / SEC#: 801-63505
RIA
Registered Investment Advisory firm - (9/24/2004 Approved)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
Wisconsin(7/10/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 6/25/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AW
ANNEX WEALTH MANAGEMENT, LLC
ANNEX ADVISORY SERVICES, LLC | SAVVY - POWERED BY ANNEX WEALTH MANAGEMENT | SAVVY | ANNEX WEALTH MANAGEMENT, LLC | ANNEX IGNITE
CRD#: 127987 / SEC#: 801-63505
RIA
Registered Investment Advisory firm - (9/24/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
17950 W. Corporate Drive Suite 300, Brookfield, WI 53045
Mailing Address
Phone number
(262) 786-6363
Established
Firm type
Fiscal year end
# of Employees
144
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
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Company Information
ANNEX WEALTH MANAGEMENT, LLC
CRD#: 127987Brookfield, WI 53045TRUST BUT VERIFY
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