Steven M. Effert

TRUSTMONT ADVISORY GROUP

KRAKOW, WI 54137

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CRD#: 2211629

Professional summary

Steven Michael Effert is a registered financial advisor currently at TRUSTMONT ADVISORY GROUP, INC. located in Krakow, Wisconsin and TRUSTMONT FINANCIAL GROUP, INC. located in Krakow, Wisconsin.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Steven has worked at 10 firms and has passed the Series 65, Series 63, SIE 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.

1. Steven M Effert -DBA Tactical Wealth Management, N4731 Lake Sandia Dr., Krakow, WI 54137 - 09/2016 - NIR - Fixed Insurance Sales - Through the course of individual and business financial planning it will be necessary to address various areas of concern which require the discussion and sale of fixed insurance products. - Sole Prop - 0 hrs/mo 2. N.E.W. New Near North Club, Inc. - 7421 S. Chase Rd. Sobieski, WI 54171 - 2018 - NIR - Treasurer for a newly established 501 c 3 service club, supporting natural resource protections through regular outdoor club activities; snow mobiling, watercraft, hiking, hunting etc. - Prepare monthly reports that track financial activities of club, Prepare documentation for annual audits. - Corp - 0 Hrs/mo trading 3. DBA Tactical Wealth Management, N4731 Lake Sandia Dr, Krakow, WI 54137 . Duties include Research, Strategy and Management . Fee based business. 30 HPW during Securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Effert'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®

None

Experience

Current

August 31, 2020 - Present

TRUSTMONT ADVISORY GROUP, INC.

Office #1: Tactical Wealth Management N4731 Lake Sandia Dr, Krakow, WI 54137

RIA

CRD#: 106015

KRAKOW, WI

Current

August 31, 2020 - Present

TRUSTMONT FINANCIAL GROUP, INC.

CRD#: 18312

KRAKOW, WI

Past

August 26, 2016 - August 31, 2020

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

Krakow, WI

Past

August 25, 2016 - August 31, 2020

SSN ADVISORY, INC.

RIA

CRD#: 126090

Krakow, WI

Past

January 4, 2011 - August 25, 2016

SII INVESTMENTS, INC.

RIA

CRD#: 2225

KRAKOW, WI

Past

January 4, 2011 - August 25, 2016

SII INVESTMENTS, INC.

CRD#: 2225

KRAKOW, WI

Past

April 1, 2009 - December 31, 2010

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

PULASKI, WI

Past

April 1, 2009 - December 31, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

PULASKI, WI

Past

March 1, 2007 - January 21, 2009

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

GREEN BAY, WI

Past

July 12, 2005 - March 9, 2007

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

CRD#: 7388

MILWAUKEE, WI

Past

April 27, 1992 - July 29, 2003

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 27, 1992 - July 29, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

TRUSTMONT ADVISORY GROUP, INC.

CRD#: 106015 / SEC#: 801-30694

RIA

Registered Investment Advisory firm - (11/27/1987 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.

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

South Carolina
(9/24/2025)

Virginia
(9/24/2025)

IAR

Wisconsin
(8/31/2020)

Wisconsin
(9/1/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/29/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/28/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/24/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

TRUSTMONT ADVISORY GROUP, INC.

CRD#: 106015 / SEC#: 801-30694

RIA

Registered Investment Advisory firm - (11/27/1987 Approved)

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Contact information

Main Address

Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601

Mailing Address

Phone number

(724) 468-5665

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A 03-2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,387
AUM (Assets Under Management)	$ 1,126,006,619

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Steven M. Effert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Michael Effert's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUSTMONT FINANCIAL GROUP, INC.

SECURITIES SERVICE NETWORK, LLC

SSN ADVISORY, INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

M&I FINANCIAL ADVISORS, INC

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

TRUSTMONT ADVISORY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2007

Series 63

Date: 4/28/1992

SIE

Date: 10/1/2018

Series 7

Date: 4/24/1992

FINRA

Current Firm

TRUSTMONT ADVISORY GROUP, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUSTMONT ADVISORY GROUP, INC.

TRUST BUT VERIFY

Contact information

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