Steve J. Aguiar

ARBOR WEALTH MANAGEMENT

Walnut Creek, CA 94598

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CRD#: 2335990

Professional summary

Steve John Aguiar is a registered financial advisor currently at ARBOR WEALTH MANAGEMENT located in Walnut Creek, California and OSAIC WEALTH, INC. located in Walnut Creek, California.

Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Steve has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 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.

ARBOR WEALTH MANAGEMENT; INVESTMENT RELATED; 2855 MITCHELL DRIVE #203; PRINCIPAL; START DATE 03/14/2001; 100HRS/MTH; 3 DURING SECURITY HOURS; DESIGN MANAGE AND OVERSEE CLIENT PORTFOLIOS. CONDUCT CLIENT MEETINGS AND REBALANCE PORTFOLIOS AS NEEDED. CONTINUALLY SCREEN AND MONITOR NEW INVESTMENT OPPORTUNITIES FOR CLIENTS. NO NAME POSITION: TRUSTEE NATURE: NONE OF THE ABOVE. I WAS TOLD THAT I NEEDED TO DISCLOSE THAT I AM THE TRUSTEE ON MY UNCLE'S LIVING TRUST INVESTMENT RELATED: NO NUMBER OF HOURS: 0 INVESTMENT RELATED HOURS: 0 START DATE: 10/08/2013 ADDRESS: 2855 MITCHELL DR #203, WALNUT CREEK CA 94598 DESCRIPTION: IN THE EVENT OF MY UNCLES DEATH I AM THE TRUSTEE ON THE LIVING TRUST.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve John Aguiar'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®

None

Experience

Current

November 14, 2017 - Present

ARBOR WEALTH MANAGEMENT

Office #1: 2700 Ygnacio Valley Road 275, Walnut Creek, CA 94598

RIA

CRD#: 289324

Walnut Creek, CA

Current

November 3, 2023 - Present

OSAIC WEALTH, INC.

Office #1: 2700 Ygnacio Valley Road Suite 275, Walnut Creek, CA 94598

RIA

CRD#: 23131

Walnut Creek, CA

Past

October 27, 2003 - December 14, 2017

ARBOR WEALTH MANAGEMENT

RIA

CRD#: 134711

WALNUT CREEK, CA

Past

January 23, 1998 - November 3, 2023

FSC SECURITIES CORPORATION

CRD#: 7461

WALNUT CREEK, CA

Past

June 30, 1993 - January 21, 1998

SIFE

CRD#: 3355

WALNUT CREEK, CA

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

Alabama
(11/3/2023)

Arizona
(11/3/2023)

IAR

California
(11/14/2017)

California
(11/3/2023)

Colorado
(11/3/2023)

Florida
(11/3/2023)

Hawaii
(11/3/2023)

Idaho
(11/3/2023)

Indiana
(11/3/2023)

Kansas
(11/3/2023)

Kentucky
(11/3/2023)

Montana
(11/3/2023)

Nevada
(11/3/2023)

New Jersey
(11/3/2023)

New York
(11/3/2023)

Oregon
(11/3/2023)

Tennessee
(11/3/2023)

Texas
(11/3/2023)

Washington
(11/3/2023)

Wyoming
(11/3/2023)

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: 11/15/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/28/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 3/25/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/9/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/28/1993

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ARBOR WEALTH MANAGEMENT

AGUIAR, STEPHEN, JOHN | ARBOR WEALTH MANAGEMENT

CRD#: 289324 / SEC#:

California

Registered Investment Advisory firm - (11/14/2017 Approved)

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Contact information

Main Address

2700 Ygnacio Valley Road 275, Walnut Creek, CA 94598

Mailing Address

Phone number

925-947-0900 EXT. 111

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	358
AUM (Assets Under Management)	$ 104,410,488

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Steve J. Aguiar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve John Aguiar's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

ARBOR WEALTH MANAGEMENT

FSC SECURITIES CORPORATION

SIFE

State Registrations and Notice Filings

Exams

Series 65

Date: 11/15/2002

Series 63

Date: 6/28/1993

SIE

Date: 10/1/2018

Series 31

Date: 3/25/2004

Series 7

Date: 5/9/2001

Series 6

Date: 6/28/1993

FINRA

Current Firm

ARBOR WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARBOR WEALTH MANAGEMENT

TRUST BUT VERIFY

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