Stephen A. Wingert

WINGERT INVESTMENT MANAGEMENT

HUMMELSTOWN, PA

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CRD#: 2387248

Professional summary

Stephen Andrew Wingert, who also goes by Stephen A Winger, Steve Wingert, is a registered financial advisor currently at WINGERT INVESTMENT MANAGEMENT, LLC located in Hummelstown, Pennsylvania.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Stephen has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen A Winger | Steve Wingert

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) - RIA

Click below to view Stephen Andrew Wingert'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

October 12, 2001 - Present

WINGERT INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 116049

HUMMELSTOWN, PA

Past

January 22, 1999 - September 7, 2001

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

January 6, 1995 - January 13, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 21, 1993 - January 11, 1995

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Pennsylvania
(10/4/2005)

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 65

Date: 9/29/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/14/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/27/1993

General Securities Representative Examination

Current Firm

WINGERT INVESTMENT MANAGEMENT, LLC

CRD#: 116049 / SEC#:

Florida

Registered Investment Advisory firm - (12/31/2005 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/3/2005 Approved)

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).

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Contact information

Main Address

Hummelstown, PA

Mailing Address

Phone number

(717) 566-5940

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	7
AUM (Assets Under Management)	$ 5,308,017

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 A. Wingert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Andrew Wingert's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINGERT INVESTMENT MANAGEMENT, LLC

RAYMOND JAMES & ASSOCIATES, INC.

PRUDENTIAL EQUITY GROUP, LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/29/1993

Series 63

Date: 9/14/1993

Series 7

Date: 8/27/1993

Current Firm

WINGERT INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

WINGERT INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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