Steven A. Jennings

EVERGREEN RIA

Rutland, VT

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CRD#: 2472408

Professional summary

Steven Andrew Jennings is a registered financial advisor currently at EVERGREEN RIA, LLC located in Rutland, Vermont and D.H. HILL SECURITIES, LLLP located in Kingwood, Texas.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9 and Series 10 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.

1. Jennings Financial Group, investment related, 107 Franklin St., Rutland, VT 05701, fixed insurance sales, agent, approx 8 hrs/mo, 2 during trading, Start date 10/2004, provide insurance recommendations 2. Jennings Financial Group, not investment related, 107 Franklin St., Rutland, VT 05701, mortgage services, agent, approx 8 hrs/mo, 2 during trading, Start date 10/2004, refer leads to banks/finance companies 3. Evergreen RIA, LLC, investment related, 107 Franklin St., Rutland, VT 05701, Investment Advisor Representative, approx 140 hrs/mo, all during trading, provide financial planning and investment advice

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Andrew Jennings'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

February 24, 2023 - Present

EVERGREEN RIA, LLC

RIA

CRD#: 324526

Rutland, VT

Current

February 7, 2023 - Present

D.H. HILL SECURITIES, LLLP

Office #1: 1543 Green Oak Place, Suite 100, Kingwood, TX 77339

CRD#: 41528

Kingwood, TX

Past

February 11, 2009 - August 15, 2012

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

ISELIN, NJ

Past

January 20, 2009 - July 22, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

JERSEY CITY, NJ

Past

March 1, 2007 - January 23, 2009

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

EATONTOWN, NJ

Past

March 1, 2007 - January 23, 2009

GUNNALLEN FINANCIAL, INC

CRD#: 17609

EATONTOWN, NJ

Past

March 16, 2005 - October 3, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

ROCHELL PARK, NJ

Past

November 5, 2004 - October 3, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ROCHELL PARK, NJ

Past

April 19, 1994 - November 9, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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

Georgia
(6/16/2023)

New Jersey
(3/17/2023)

New York
(2/27/2023)

Vermont
(2/23/2023)

IAR

Vermont
(2/24/2023)

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: 10/26/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/20/1994

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: 9/22/1994

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/18/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/19/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 12/9/2004

General Securities Sales Supervisor - General Module Examination

SRO Registrations

FINRA

Current Firm

EVERGREEN RIA, LLC

CRD#: 324526 / SEC#:

Vermont

Registered Investment Advisory firm - (2/24/2023 Approved)

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Contact information

Main Address

Dorset, VT

Mailing Address

Phone number

(941) 900-6644

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	26
AUM (Assets Under Management)	$ 3,500,000

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 A. Jennings

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Andrew Jennings's CRS (Customer Relationship Summary).

Certified licenses

Experience

D.H. HILL SECURITIES, LLLP

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/2022

Series 63

Date: 5/20/1994

SIE

Date: 10/1/2018

Series 31

Date: 9/22/1994

Series 7

Date: 4/18/1994

Series 9

Date: 1/19/2005

Series 10

Date: 12/9/2004

FINRA

Current Firm

EVERGREEN RIA, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EVERGREEN RIA, LLC

TRUST BUT VERIFY

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