Steven N. Hooyman

COPPER HARBOR INVESTMENT ADVISORS

Appleton, WI 54913

Some features on this profile are disabled

CRD#: 2143662

Professional summary

Steven Nicholas Hooyman, CFP® is a registered financial advisor currently at COPPER HARBOR INVESTMENT ADVISORS, LLC located in Appleton, Wisconsin.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Steven has worked at 6 firms and has passed the Series 63 and Series 7 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 Steven Nicholas Hooyman's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

January 2, 2014 - Present

COPPER HARBOR INVESTMENT ADVISORS, LLC

Office #1: 250 North Metro Drive Suite A, Appleton, WI 54913

RIA

CRD#: 169978

Appleton, WI

Past

June 1, 2007 - July 8, 2013

BAKER TILLY INVESTMENT ADVISORS

RIA

CRD#: 111264

MADISON, WI

Past

June 1, 2007 - August 16, 2013

BAKER TILLY CAPITAL, LLC

CRD#: 115333

APPLETON, WI

Past

August 20, 2003 - March 29, 2007

CARL M. HENNIG, INC.

CRD#: 140

OSHKOSH, WI

Past

May 26, 1999 - November 12, 2007

SCHENCK INVESTMENT SOLUTIONS LLC

RIA

CRD#: 112997

APPLETON, WI

Past

October 19, 1992 - September 14, 1993

FIRSTAR INVESTMENT SERVICES,INC.

CRD#: 14536

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".

COPPER HARBOR INVESTMENT ADVISORS, LLC

CRD#: 169978 / SEC#: 801-81035

RIA

Registered Investment Advisory firm - (2/26/2015 Approved)

Wisconsin

Registered Investment Advisory firm - (3/2/2015 Terminated)

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).

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

Illinois
(6/4/2021)

IAR

Oregon
(11/8/2023)

IAR

Wisconsin
(1/2/2014)

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

Series 63

Date: 9/11/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/19/2003

General Securities Representative Examination

Current Firm

COPPER HARBOR INVESTMENT ADVISORS, LLC

CRD#: 169978 / SEC#: 801-81035

RIA

Registered Investment Advisory firm - (2/26/2015 Approved)

Wisconsin

Registered Investment Advisory firm - (3/2/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

250 North Metro Drive Suite A, Appleton, WI 54913

Mailing Address

Phone number

(920) 441-0267

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 (1/30/2025)

Regulatory assets under management

Total Number of Accounts	228
AUM (Assets Under Management)	$ 665,000,000

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.

Similar Advisors

Kurt Knotts-simmons

PRIMERICA BROKERAGE SERVICES, INC.

DULUTH, GA

Kyle Klatt

OSAIC WEALTH, INC.

IAR

Forest Lake, MN

Steven Schmidt

LPL ENTERPRISE, LLC

IAR

ST. LOUIS PARK, MN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven N. Hooyman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Nicholas Hooyman's CRS (Customer Relationship Summary).

Certified licenses

Experience

COPPER HARBOR INVESTMENT ADVISORS, LLC

BAKER TILLY INVESTMENT ADVISORS

BAKER TILLY CAPITAL, LLC

CARL M. HENNIG, INC.

SCHENCK INVESTMENT SOLUTIONS LLC

FIRSTAR INVESTMENT SERVICES,INC.

Primary Firm SEC Registration

COPPER HARBOR INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/11/2003

Series 7

Date: 8/19/2003

Current Firm

COPPER HARBOR INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COPPER HARBOR INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors