Steven J. Slomberg

FAMILYWEALTH

STOW, OH

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CRD#: 2442979

Professional summary

Steven Joseph Slomberg, who also goes by Steven J Slomberg, is a registered financial advisor currently at FAMILYWEALTH located in Stow, Ohio.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Steven has worked at 7 firms and has passed the SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steven J Slomberg

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. S.J. SLOMBERG INC.d/b/a EQUITY FINANCIAL SERVICES; STOW, OH; PRESIDENT/SALES; SELL LIFE, HEALTH, AND FIXED ANNUITIES THROUGH VARIOUS INSURANCE COMPANIES. 30 HRS PER WEEK 2.REAL ESTATE HOLDING UNDER THE NAME STEVEN SLOMBERG; STOW, OH; DOES ALL MANAGEMENT OF PROPERTIES; 3-5 HOURS PER WEEK; NOT INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Joseph Slomberg'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

January 9, 2018 - Present

FAMILYWEALTH

RIA

CRD#: 289193

STOW, OH

Past

September 27, 2017 - December 31, 2017

FAMILYWEALTH

RIA

CRD#: 289193

STOW, OH

Past

March 9, 2016 - December 26, 2017

VARIABLE INVESTMENT ASSOCIATES, INC.

CRD#: 44412

TEA, SD

Past

November 5, 2010 - March 9, 2016

RICHFIELD ORION INTERNATIONAL, INC.

CRD#: 24433

STOW, OH

Past

February 9, 2002 - November 1, 2010

PARKLAND SECURITIES, LLC

CRD#: 115368

STOW, OH

Past

September 2, 1998 - February 9, 2002

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

June 18, 1998 - July 10, 1998

WALNUT STREET SECURITIES, INC.

CRD#: 15840

Past

February 16, 1998 - June 29, 1998

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

January 21, 1994 - December 13, 1996

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

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".

FAMILYWEALTH

CRD#: 289193 / SEC#: 801-111050

RIA

Registered Investment Advisory firm - (8/28/2017 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

Ohio
(1/9/2018)

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

General Industry/Product Exam

SIE

Date: 12/26/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/20/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FAMILYWEALTH

CRD#: 289193 / SEC#: 801-111050

RIA

Registered Investment Advisory firm - (8/28/2017 Approved)

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Contact information

Main Address

255 Primera Blvd Suite 160, Lake Mary, FL 32746

Mailing Address

Phone number

(866) 746-3743

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (38 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FAMILYWEALTH ADVISERS, LLC ADV 2A BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	619
AUM (Assets Under Management)	$ 346,344,277

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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Advisor Monitoring

Firm Stability Insights

Steven J. Slomberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Joseph Slomberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

FAMILYWEALTH

VARIABLE INVESTMENT ASSOCIATES, INC.

RICHFIELD ORION INTERNATIONAL, INC.

PARKLAND SECURITIES, LLC

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

WMA SECURITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

Primary Firm SEC Registration

FAMILYWEALTH

State Registrations and Notice Filings

Exams

SIE

Date: 12/26/2017

Series 6

Date: 1/20/1994

Current Firm

FAMILYWEALTH

Contact information

SEC notice filing (38 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FAMILYWEALTH

TRUST BUT VERIFY

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