TS
Todd A. Stepke
KEY WEALTH MANAGEMENT
Wexford, PA 15090
Some features on this profile are disabled
CRD#: 2135928
TS
Professional summary
Todd Andrew Stepke is a registered financial advisor currently at KEY WEALTH MANAGEMENT, INC. located in Wexford, Pennsylvania and LPL FINANCIAL LLC located in Wexford, Pennsylvania.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Todd has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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. 11/16/2011: TSTEPKE & ASSOCIATES, INC; Business Entity For Tax/Investment Purposes Only; NOT INV REL; AT REPORTED BUSINESS LOCATION(S); Shell account for tax reporting reasons; TIME SPENT 15%. 2. 05/29/2013 - TSTEPKE & ASSOCIATES INC. -TAX PREP / ACCOUNTING / BOOKKEEPING - TAX PREPARATION - 30% OF TIME SPENT 3. 02/04/2022 - BD Registered Rep with LPL Financial - Investment related - At reported business location(s) - - start date:02/04/2022 - 160 hrs/mo - 7 hrs during trading. 4. 03/03/2022 - Key Wealth Management Inc - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 01/18/2022 - 50 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Key Wealth Management Inc, an independent investment advisor firm. I started this business activity in 1/2022. I expect to spend approximately 50 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Todd Andrew Stepke'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
February 4, 2022 - Present
KEY WEALTH MANAGEMENT, INC.
Office #1: 9500 Brooktree Road Suite 102, Wexford, PA 15090RIA
CRD#: 313173
Wexford, PA
Current
January 30, 2004 - Present
LPL FINANCIAL LLC
Office #1: 9500 Brooktree Rd Ste 102, Wexford, PA 15090-9227RIA
BD
CRD#: 6413
Wexford, PA
Past
January 5, 2012 - April 19, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
WARRENDALE, PA
Past
June 14, 1996 - February 17, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
March 19, 1993 - June 13, 1996
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
DALLAS, TX
Past
September 11, 1991 - December 4, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
September 11, 1991 - December 4, 1992
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Arizona(12/6/2019)
RR
Connecticut(12/2/2019)
RR
Florida(12/6/2016)
RR
Georgia(1/23/2024)
RR
Illinois(3/6/2024)
RR
Indiana(8/5/2008)
IAR
Indiana(11/4/2024)
RR
Kansas(7/9/2008)
RR
Maryland(3/29/2004)
RR
Michigan(1/2/2024)
RR
Missouri(1/30/2004)
RR
Ohio(1/30/2004)
RR
Pennsylvania(1/30/2004)
IAR
Pennsylvania(2/4/2022)
RR
Texas(1/21/2025)
RR
Virginia(12/3/2014)
RR
Washington(1/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KW
KEY WEALTH MANAGEMENT, INC.
KEY WEALTH | KWM | KEY WEALTH MANAGEMENT, INC. | KEY WEALTH MANAGEMENT
CRD#: 313173 / SEC#:
Indiana
Registered Investment Advisory firm - (11/4/2024 Approved)Pennsylvania
Registered Investment Advisory firm - (7/21/2021 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9500 Brooktree Road Suite 102, Wexford, PA 15090
Mailing Address
Phone number
(724) 934-9196
Established
Firm type
Fiscal year end
# of Employees
1
Regulatory assets under management
| Total Number of Accounts | 257 |
| AUM (Assets Under Management) | $ 35,831,652 |
Red Flags
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