Stephen M. Powers
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 Michael Powers, CFP®, who also goes by Steve Powers, Steve Powers, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1997
Experience
February 3, 2020 - July 10, 2026
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
January 22, 2020 - July 10, 2026
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
February 24, 2017 - August 8, 2019
AEGON ASSET MANAGEMENT US
October 10, 2016 - August 8, 2019
FORESIDE FUND SERVICES, LLC
December 18, 2015 - September 16, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 18, 2015 - September 16, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 26, 2013 - November 3, 2014
INCAPITAL DISTRIBUTORS LLC
February 8, 2013 - November 3, 2014
INSPEREX LLC
July 17, 2012 - January 2, 2013
LPL FINANCIAL LLC
June 1, 2010 - June 7, 2010
ADVISORS ASSET MANAGEMENT, INC.
June 1, 2010 - June 7, 2010
ADVISORS ASSET MANAGEMENT, INC.
August 4, 2009 - December 31, 2009
EVERGREEN INVESTMENT MANAGEMENT CO
January 29, 2004 - December 31, 2009
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
July 25, 2002 - November 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 2002 - November 3, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2000 - December 18, 2000
WELLS FARGO CLEARING SERVICES, LLC
January 12, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 1, 1995 - June 10, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 1, 1995 - June 10, 1996
OSAIC FA, INC.
September 10, 1993 - January 6, 1995
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CLIFTONLARSONALLEN WEALTH ADVISORS, LLC
CRD#: 38357 / SEC#: 801-57242, 8-48239
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLIFTONLARSONALLEN LLP | SOLE MEMBER | |
| BLAND, WILLIAM CLAYTON | CHIEF EXECUTIVE OFFICER | 3259971 |
| BUFFIE, BRIAN JACOB | CHIEF COMPLIANCE OFFICER | 5532207 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL FINANCIAL OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | PRINCIPAL OPERATIONS OFFICER | 4587577 |
| VAN HORRICK, JACLYN SUZANNE | FINANCIAL OPERATIONS PRINCIPAL | 4587577 |
Regulatory assets under management
| Total Number of Accounts | 22,382 |
| AUM (Assets Under Management) | $ 13,324,042,941 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/18/2025 | ||
| 09/10/2024 | ||
| 08/16/2023 |
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.
