JS
Jeffrey D. Steele
SILVERLAKE WEALTH MANAGEMENT LLC
Williston, VT 05495
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CRD#: 2111373
JS
Professional summary
Jeffrey Donald Steele is a registered financial advisor currently at SILVERLAKE WEALTH MANAGEMENT LLC located in Williston, Vermont and PURSHE KAPLAN STERLING INVESTMENTS located in Williston, Vermont.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Jeffrey has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 10 and Series 9 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.
1. 2/27/2014 - SILVERLAKE WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR DBA - PARTNER - Time Spent 50%. 2. Fixed Insurance - investment related -33 Blair Park Road suite 100 WIlliston VT 05495 - Sell and service Insurance - INvestment Advisor - 3/2020 - 2 hours a month. One security hour a month - sales and service of fixed insurance products. 3. PKS Financial - Investment related - 80 State St, Albany NY 12207 - Fixed/Traditional Insurance - Agent 3/2020 - 5 hours a month - one security hour a month - sales of fixed/traditional insurance products. 4. 9/19/2019 - SWM Realty Holdings, LLC - Investment Related - 33 Blair Park Rd. Williston, VT 05495 - Real Estate Rental - Started 11/01/2011 - 0 Hours Per Month - Office condo. 5. The Smith Companies. Investment-Related. Located at 22 Friend Street, Suite 600, Boston, MA 02114. General Insurance Agency. Agent. Start: 10/2023. 1 hr/month; all during trading hours. Use Smith Companies to review insurance policies.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Donald Steele'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
January 6, 2017 - Present
SILVERLAKE WEALTH MANAGEMENT LLC
Office #1: 33 Blair Park Road Suite 100, Williston, VT 05495RIA
CRD#: 165525
Williston, VT
Current
April 9, 2020 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 33 Blair Park Road, Suite 100, Williston, VT 05495BD
CRD#: 35747
Williston, VT
Past
December 10, 2012 - December 31, 2016
SILVERLAKE WEALTH MANAGEMENT LLC
RIA
CRD#: 165525
WILLISTON, VT
Past
December 6, 2012 - April 16, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
WILLISTON, VT
Past
November 26, 2002 - December 7, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
WILLISTON, VT
Past
April 5, 2002 - December 7, 2012
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
WILLISTON, VT
Past
January 1, 1991 - April 8, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
SW
SILVERLAKE WEALTH MANAGEMENT LLC
ESSEX WEALTH MANAGEMENT LLC | SILVERLAKE WEALTH MANAGEMENT LLC | SILVER LAKE WEALTH MANAGMENT LLC
CRD#: 165525 / SEC#: 801-97340
RIA
Registered Investment Advisory firm - (6/3/2015 Approved)Vermont
Registered Investment Advisory firm - (3/14/2016 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/30/2020)
RR
Arizona(1/12/2021)
RR
California(4/9/2020)
RR
Connecticut(4/9/2020)
RR
Florida(5/8/2020)
RR
Illinois(10/13/2022)
RR
Maine(4/9/2020)
RR
Massachusetts(4/9/2020)
RR
Michigan(4/9/2020)
RR
New Hampshire(4/9/2020)
RR
New Jersey(4/9/2020)
RR
New Mexico(9/25/2020)
RR
New York(4/9/2020)
RR
North Carolina(4/9/2020)
RR
Ohio(11/18/2020)
RR
Pennsylvania(4/9/2020)
RR
Texas(4/9/2020)
IAR
Vermont(1/6/2017)
RR
Vermont(4/29/2020)
RR
Virginia(4/9/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SILVERLAKE WEALTH MANAGEMENT LLC
ESSEX WEALTH MANAGEMENT LLC | SILVERLAKE WEALTH MANAGEMENT LLC | SILVER LAKE WEALTH MANAGMENT LLC
CRD#: 165525 / SEC#: 801-97340
RIA
Registered Investment Advisory firm - (6/3/2015 Approved)Vermont
Registered Investment Advisory firm - (3/14/2016 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
33 Blair Park Road Suite 100, Williston, VT 05495
Mailing Address
Phone number
(802) 857-5083
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,892 |
| AUM (Assets Under Management) | $ 572,662,800 |
Red Flags
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Company Information
SILVERLAKE WEALTH MANAGEMENT LLC
CRD#: 165525Williston, VT 05495TRUST BUT VERIFY
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Contact information
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