Adam B. Steen
KESTRA PRIVATE WEALTH SERVICES | Senior Vice President–Wealth Management
Memphis, TN 38119
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CRD#: 2231499
Professional summary
Adam Brooks Steen is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Memphis, Tennessee and KESTRA INVESTMENT SERVICES, LLC located in Memphis, Tennessee.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Adam has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 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.
Business Name: BRIGHT RIVER PRIVATE WEALTH POSITION: Wealth Advisor NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 12/17/2024 ADDRESS: 6410 Poplar Ave, Suite 140, Memphis TN 38120, United States DESCRIPTION: Advising Clients on Wealth Management Needs. Business Name: SKS, MS-LLC POSITION: Manager NATURE: Working Farm and PUD INVESTMENT RELATED: No NUMBER OF HOURS: 9 SECURITIES TRADING HOURS: 0 START DATE: 02/07/2009 ADDRESS: 8905 Hunters Run Drive, Olive Branch MS 38654-6512, United States DESCRIPTION: Manage Hay production timber production and farm and hunting lease Business Name: ABS BRPW MS, LLC POSITION: Owner NATURE: LLC for Tax Entity INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 02/23/2025 ADDRESS: 8905 Hunters Run Dr, Olive Branch MS 38654, United States DESCRIPTION: Manage Entity for tax purposes
CRS (Client Relationship Summary) - RIA
Click below to view Adam Brooks Steen'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®
NoneEducation
Finance
1986 - 1990
Experience
Current
December 17, 2024 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 6410 Poplar Avenue Suite 500, Memphis, TN 38119RIA
CRD#: 155193
Memphis, TN
Current
December 17, 2024 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6410 Poplar Avenue Suite 320, Memphis, TN 38119BD
CRD#: 42046
Memphis, TN
Past
August 14, 2000 - December 6, 2024
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
MEMPHIS, TN
Past
August 14, 2000 - December 6, 2024
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
MEMPHIS, TN
Past
January 9, 1998 - August 14, 2000
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Past
August 6, 1992 - January 14, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, 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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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.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(12/20/2024)
RR
Arizona(1/23/2025)
RR
Arkansas(2/19/2025)
RR
California(12/17/2024)
RR
Colorado(1/15/2025)
RR
Connecticut(12/17/2024)
RR
District of Columbia(12/17/2024)
RR
Florida(2/26/2025)
RR
Georgia(12/17/2024)
RR
Illinois(1/29/2025)
RR
Indiana(12/17/2024)
RR
Kansas(12/17/2024)
RR
Kentucky(2/24/2025)
RR
Louisiana(12/17/2024)
RR
Michigan(2/13/2025)
RR
Minnesota(12/20/2024)
RR
Mississippi(12/17/2024)
IAR
Mississippi(12/17/2024)
RR
Missouri(1/23/2025)
RR
Nebraska(3/4/2025)
RR
Nevada(12/17/2024)
RR
New Hampshire(12/17/2024)
RR
New Jersey(12/17/2024)
RR
New York(12/17/2024)
RR
North Carolina(12/23/2024)
RR
Ohio(12/17/2024)
RR
Oklahoma(2/14/2025)
RR
South Carolina(12/17/2024)
RR
Tennessee(12/19/2024)
IAR
Tennessee(12/20/2024)
IAR
Texas(12/17/2024)
RR
Texas(2/3/2025)
RR
Utah(1/2/2025)
RR
Virginia(12/20/2024)
RR
Washington(12/17/2024)
RR
West Virginia(12/17/2024)
RR
Wyoming(1/27/2025)
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
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA PRIVATE WEALTH SERVICES, LLC
Senior Vice President–Wealth ManagementCRD#: 155193Memphis, TN 38119TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
