Stephen J. Buege

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CRD#: 2289692

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen John Buege was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 4 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 17, 2013 - January 26, 2018

LIFEPLAN FINANCIAL, LLC

RIA

CRD#: 136981

MANKATO, MN

Past

August 1, 2000 - April 4, 2006

NATIONAL PLANNING CORPORATION

CRD#: 29604

LOS ANGELES, CA

Past

May 3, 1994 - August 10, 2000

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 5, 1993 - May 11, 1994

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

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".

LIFEPLAN FINANCIAL, LLC

LIFEPLAN FINANCIAL, LLC | WEALTH MANAGEMENT RESOURCES, LLC

CRD#: 136981 / SEC#: 801-131454

RIA

Registered Investment Advisory firm - (11/12/2024 Approved)

Minnesota

Registered Investment Advisory firm - (11/27/2024 Terminated)

South Dakota

Registered Investment Advisory firm - (11/21/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/21/2024 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 12/22/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/23/1992

General Securities Representative Examination

Current Firm

LIFEPLAN FINANCIAL, LLC

LIFEPLAN FINANCIAL, LLC | WEALTH MANAGEMENT RESOURCES, LLC

CRD#: 136981 / SEC#: 801-131454

RIA

Registered Investment Advisory firm - (11/12/2024 Approved)

Minnesota

Registered Investment Advisory firm - (11/27/2024 Terminated)

South Dakota

Registered Investment Advisory firm - (11/21/2024 Terminated)

Texas

Registered Investment Advisory firm - (11/21/2024 Terminated)

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Contact information

Main Address

226 N. Broad Street, Mankato, MN 56001

Mailing Address

Phone number

(507) 625-3507

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LIFEPLAN FINANCIAL ADV PART 2A, OCTOBER 2024 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	517
AUM (Assets Under Management)	$ 122,270,797

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

Stephen J. Buege

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LIFEPLAN FINANCIAL, LLC

NATIONAL PLANNING CORPORATION

CETERA WEALTH SERVICES, LLC

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

LIFEPLAN FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/22/1992

Series 7

Date: 12/23/1992

Current Firm

LIFEPLAN FINANCIAL, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LIFEPLAN FINANCIAL, LLC

TRUST BUT VERIFY

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