Stefan C. Liiste

LIONS GATE SOVEREIGN CAPITAL

White Bear Lake, MN 55110

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CRD#: 2075487

Professional summary

Stefan Christopher Liiste is a registered financial advisor currently at LIONS GATE SOVEREIGN CAPITAL, LLC located in White Bear Lake, Minnesota.

Stefan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Stefan has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stefan Christopher Liiste'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®

None

Experience

Current

January 12, 2016 - Present

LIONS GATE SOVEREIGN CAPITAL, LLC

Office #1: 4525 White Bear Parkway #224, White Bear Lake, MN 55110

RIA

CRD#: 134781

White Bear Lake, MN

Past

March 24, 2009 - November 28, 2011

LIONS GATE SOVEREIGN CAPITAL, LLC

RIA

CRD#: 134781

NORTH OAKS, MN

Past

March 28, 2005 - August 25, 2005

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

NEW BRIGHTON, MN

Past

January 19, 2005 - March 28, 2005

CAMBRIDGE INVESTMENT RESEARCH, INC.

RIA

CRD#: 39543

NORTH OAKS, MN

Past

February 6, 2004 - August 13, 2010

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

NORTH OAKS, MN

Past

September 21, 1990 - February 12, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 21, 1990 - February 12, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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

Minnesota
(1/12/2016)

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: 1/3/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/24/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/19/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/17/2005

General Securities Principal Examination

Current Firm

LIONS GATE SOVEREIGN CAPITAL, LLC

CONTEXT FINANCIAL GROUP | LIONS GATE SOVEREIGN CAPITAL, LLC | LIONS GATE SOVEREIGN CAPITAL | CONTEXT FINANCIAL GRUOP | CONTEXT FINANCIAL GROUP, LLC

CRD#: 134781 / SEC#: 801-69904

RIA

Registered Investment Advisory firm - (4/29/2013 Terminated)

Minnesota

Registered Investment Advisory firm - (4/29/2013 Approved)

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).

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Contact information

Main Address

4525 White Bear Parkway #224, White Bear Lake, MN 55110

Mailing Address

Phone number

(651) 634-8817

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	314
AUM (Assets Under Management)	$ 40,940,000

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

Stefan C. Liiste

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stefan Christopher Liiste's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIONS GATE SOVEREIGN CAPITAL, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2005

Series 63

Date: 9/24/1990

Series 7

Date: 9/19/1990

Series 24

Date: 8/17/2005

Current Firm

LIONS GATE SOVEREIGN CAPITAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LIONS GATE SOVEREIGN CAPITAL, LLC

TRUST BUT VERIFY

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