Steven A. Holdsworth

FALCON WEALTH PLANNING

ONTARIO, CA 91764

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CRD#: 2261671

Professional summary

Steven Allen Holdsworth, CFP®, who also goes by Steven A Holdsworth, Steven A. Holdsworth, Steve Holdsworth, is a registered financial advisor currently at FALCON WEALTH PLANNING, INC. located in Ontario, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Steven has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven A Holdsworth | Steven A. Holdsworth | Steve Holdsworth

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.

State insurance licensing: Is the business investment related: Yes; Location of the business: 610 Esther Street, Suite 100 Vancouver WA 98660 USA; Steven Allen Holdsworth maintains an insurance license with Washington state. However, he is not authorized to sell insurance products or receive any commissions of additional compensation of the sale of insurance products. ; Position Title: License insurance license; Start date with business: 2023-01-25; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 0; Percentage of total yearly compensation expected to be derived from the business: 0;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Allen Holdsworth'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

Start date: 2000

Experience

Current

September 27, 2024 - Present

FALCON WEALTH PLANNING, INC.

Office #1: 3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764

RIA

CRD#: 174092

ONTARIO, CA

Past

February 23, 2022 - September 25, 2024

FIRST PACIFIC FINANCIAL, INC.

RIA

CRD#: 284736

Seattle, WA

Past

October 28, 2020 - July 13, 2022

RAMSEY & ASSOCIATES INC

RIA

CRD#: 109475

SEATTLE, WA

Past

August 31, 2016 - August 1, 2017

FIRST HORIZON ADVISORS, INC.

CRD#: 17117

MEMPHIS, TN

Past

August 30, 2016 - August 1, 2017

FIRST HORIZON ADVISORS, INC.

RIA

CRD#: 17117

MEMPHIS, TN

Past

June 10, 2014 - April 13, 2016

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

MEMPHIS, TN

Past

May 29, 2014 - April 13, 2016

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

MEMPHIS, TN

Past

April 1, 2004 - December 23, 2013

LEGACY WEALTH MANAGEMENT INC

RIA

CRD#: 108619

MEMPHIS, TN

Past

October 4, 1993 - July 28, 2000

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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".

FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (5/5/2018 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

California
(9/27/2024)

IAR

Texas
(9/30/2024)

IAR

Washington
(9/27/2024)

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

IAR

Series 66

Date: 9/17/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/1/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/10/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/1/1993

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA

Registered Investment Advisory firm - (3/19/2018 Approved)

California

Registered Investment Advisory firm - (5/5/2018 Terminated)

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Contact information

Main Address

3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764

Mailing Address

Phone number

(855) 963-2526

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-FALCON WEALTH PLANNING, INC. (5/1/2025)

Regulatory assets under management

Total Number of Accounts	3,575
AUM (Assets Under Management)	$ 1,159,538,045

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.

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Firm Stability Insights

Steven A. Holdsworth

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Allen Holdsworth's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST PACIFIC FINANCIAL, INC.

RAMSEY & ASSOCIATES INC

FIRST HORIZON ADVISORS, INC.

FIRST HORIZON ADVISORS, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

LEGACY WEALTH MANAGEMENT INC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

FALCON WEALTH PLANNING, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/17/2014

Series 63

Date: 10/6/1993

SIE

Date: 8/1/2017

Series 7

Date: 6/10/2014

Series 6

Date: 10/1/1993

Current Firm

FALCON WEALTH PLANNING, INC.

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FALCON WEALTH PLANNING, INC.

TRUST BUT VERIFY

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