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SW

Stephen A. Wegener

DFPG INVESTMENTS
Sandy, UT 84070
Some features on this profile are disabled
CRD#: 2342983
SW

Professional summary

Stephen Anthony Wegener, who also goes by Stephen A Wegener, Steve Wegener, is a registered financial professional currently at DFPG INVESTMENTS, LLC located in Sandy, Utah.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen A Wegener | Steve Wegener

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) - BD

Click below to view Stephen Anthony Wegener'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®
None

Experience

Current

February 18, 2021 - Present

DFPG INVESTMENTS, LLC

Office #1: 9017 S Riverside Drive Suite 210, Sandy, UT 84070
BD
CRD#: 155576
Sandy, UT
Past

March 14, 2019 - February 25, 2021

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
LOGAN, UT
Past

May 23, 2014 - April 5, 2019

ALLEGIS INVESTMENT SERVICES, LLC

BD
CRD#: 168557
North Logan, UT
Past

August 19, 2010 - June 30, 2014

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
NORTH LOGAN, UT
Past

July 23, 2007 - August 20, 2010

INSPHERE SECURITIES, INC.

BD
CRD#: 136433
NORTH LOGAN, UT
Past

March 15, 2002 - August 9, 2007

EQUITY SERVICES, INC.

BD
CRD#: 265
LOGAN, UT
Past

May 6, 1998 - March 25, 2002

OSAIC FS, INC.

BD
CRD#: 3870
FORT WAYNE, IN
Past

May 25, 1995 - May 18, 1998

HAROLD DANCE INVESTMENTS

BD
CRD#: 1582
LOGAN, UT
Past

June 6, 1994 - May 30, 1995

WMA SECURITIES, INC.

BD
CRD#: 32625
DULUTH, GA
Past

April 20, 1993 - June 6, 1994

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Arizona
(2/18/2021)
RR
California
(2/18/2021)
RR
Idaho
(2/18/2021)
RR
Minnesota
(2/18/2021)
RR
Nevada
(2/18/2021)
RR
New Mexico
(8/17/2022)
RR
Oregon
(2/18/2021)
RR
Texas
(7/25/2024)
RR
Utah
(2/18/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 4/23/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/19/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DI
DFPG INVESTMENTS, LLC
1031 CAPITAL SOLUTIONS | WESTRIDGE WEALTH STRATEGIES | THS PRIVATE FAMILY OFFICE | THE CRESTWELL GROUP | SUMMIT GROUP WEALTH ADVISORS | SERRATELLI FINANCIAL GROUP | SENTINELROCK WEALTH ADVISORS | RANCHO PRIVATE WEALTH | PROVIDENCE WEALTH ADVISORS | PLATINUM WEALTH GROUP | PARKVIEW WEALTH ADVISORS | OXFORD FINANCIAL GROUP | NUCLEUS FINANCIAL GROUP | MARCH | KLK CAPITAL MANAGEMENT, LLC | KEY ADVISORS WEALTH MANAGEMENT LLC | HULSEY FINANCIAL | GROVE WEALTH ADVISORS | GOMEZ CORP | GLOBAL WEALTH PARTNERS, INC. | GLIDE FINANCIAL GROUP | GEN 1 FINANCIAL | FULCRUM INVESTMENT SERVICES | FIRST FINANCIAL CENTER OF DALLAS | FINANCIAL RESOURCES INC | DIVERSIFY, INC. | DIVERSIFY ADVISORY SERVICES | DIVERSIFY ADVISOR NETWORK | DFPG INVESTMENTS, LLC | DFPG INVESTMENTS, INC. | DFPG INSURANCE, INC. | CITY CENTER WEALTH ADVISORS | CIPOLLA FINANCIAL ADVISORS | BUTLER FINANCIAL ADVISORS | BRIDGE EQUITIES | BRENT REED FINANCIAL SERVICES | ASHLAND PACIFIC

CRD#: 155576 / SEC#: 801-107896, 8-68730

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Mailing Address
9017 S Riverside Drive Suite 210, Sandy, UT 84070
Phone number
(801) 838-9999
Established
Utah since 10/12/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
20

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

DFPG FORM ADV PART 2A (3/29/2024)
DIVERSIFY ADVISORY SERVICES FORM ADV PART 2A (3/29/2024)
DFPG FORM ADV PART 2A_03.28.2023 (3/29/2024)

Direct owners and executive officers

NamePositionCRD#
FALCON PARK CAPITAL, LLCLIMITED LIABILITY COMPANY
ANDERSON, JOHN BRADLEYCHIEF COMPLIANCE OFFICER6037308
BADALAMENTI, CHARLES RICHARDFINOP2065038
BENDIX, MICHAEL ALLANCEO5379777
LAGA, DAVID RYANCFO & COO4919873
SMITH, RYAN OMERPRESIDENT4340304

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

DFPG INVESTMENTS, LLC

CRD#: 155576Sandy, UT 84070

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