Stephen J. Barrett
WAVERLY ADVISORS
LAFAYETTE, IN 47905
Some features on this profile are disabled
CRD#: 2322637
Professional summary
Stephen Joseph Barrett, AIF®, CFP®, CPWA® is a registered financial advisor currently at WAVERLY ADVISORS, LLC located in Lafayette, Indiana.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
What are your service offerings?
Tax Planning
Estate Planning
Insurance Planning
Retirement Planning
Business Succession Planning
Investment Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
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. IQ Companies, LLC; Member; 2014; Entity owns StrategIQ Financial Group, LLC 2. J.T. Pechin Properties, LLC; Partner; 2021; Rental Real Estate 3. WAAM TOPCO, LLC; Not Investment Related; 600 University Park Place, Suite 501 Birmingham, AL 35209; Holding Company; Member; 2024, 0 Hours Per Month; 0 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Joseph Barrett'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®
CFP®
Start date: 2000
CPWA®
Start date: 2018-04-11
Expire date: 2024-03-31
Experience
Current
January 11, 2024 - Present
WAVERLY ADVISORS, LLC
Office #1: 100 Executive Drive Suite A, Lafayette, IN 47905RIA
CRD#: 115332
LAFAYETTE, IN
Past
October 22, 2007 - December 16, 2016
SII INVESTMENTS, INC.
BD
CRD#: 2225
LAFAYETTE, IN
Past
September 28, 2007 - March 29, 2024
STRATEGIQ FINANCIAL GROUP, LLC
RIA
CRD#: 144287
LAFAYETTE, IN
Past
January 20, 1999 - October 22, 2007
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
LAFAYETTE, IN
Past
April 25, 1997 - October 22, 2007
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
LAFAYETTE, IN
Past
June 8, 1993 - May 5, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 8, 1993 - May 5, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
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".
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 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.Highlighted states indicate IAR registrations
IAR
California(1/11/2024)
IAR
Florida(2/12/2024)
IAR
Illinois(1/11/2024)
IAR
Indiana(1/11/2024)
IAR
Michigan(1/11/2024)
IAR
Texas(1/11/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
WA
WAVERLY ADVISORS, LLC
401K COMPLETE | WAVERLY ADVISORS, LLC | WARREN, AVERETT, KIMBROUGH AND MARINO WEALTH MANAGEMENT, LLC | WARREN AVERETT WILSON PRICE WEALTH MANAGEMENT | WARREN AVERETT WEALTH MANAGEMENT | WARREN AVERETT O'SULLIVAN CREEL WEALTH MANAGEMENT | WARREN AVERETT KIMBROUGH & MARINO WEALTH MANAGEMENT | WARREN AVERETT INSTITUTIONAL CONSULTING | WARREN AVERETT FAMILY OFFICE | WARREN AVERETT ASSET MANAGEMENT, LLC | WAKM FINANCIAL ADVISORS, LLC | WA ASSET MANAGEMENT, LLC | MCSHANE PARTNERS
CRD#: 115332 / SEC#: 801-60741
RIA
Registered Investment Advisory firm - (11/30/2001 Approved)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
600 University Park Place Suite 501, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-3334
Established
Firm type
Fiscal year end
# of Employees
371
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 34,313 |
| AUM (Assets Under Management) | $ 28,263,743,199 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 02/16/2024 | ||
| 06/15/2023 |
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.
Company Information
WAVERLY ADVISORS, LLC
CRD#: 115332Lafayette, IN 47905TRUST BUT VERIFY
Monitor Stephen Barrett
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
