JS
John G. Stevenson
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
STATESVILLE, NC 28677
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CRD#: 2478575
JS
Professional summary
John Gregory Stevenson is a registered financial advisor currently at PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC located in Statesville, North Carolina.
John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. John has worked at 6 firms and has passed the Series 66, Series 63, Series 7, Series 6 and Series 24 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.
CURRENTLY, JOHN STEVENSON IS INDEPENDENTLY LICENSED IN LIFE, ACCIDENT, AND HEALTH INSURANCES. IN THE COURSE OF PROVIDING COMPREHENSIVE FINANCIAL PLANNING, JOHN MAY IDENTIFY GAPS IN A CLIENT'S INSURANCE COVERAGE AND RECOMMEND THAT THE CLIENT CONSIDER VARIOUS TYPES OF INSURANCE COVERAGE AS PART OF THE CLIENT'S PERSONAL RISK MANAGEMENT AND CONTINGENCY PLANNING. IF THE CLIENT WANTS ADDITIONAL INSURANCE COVERAGE BUT DOES NOT HAVE A PERSONAL INSURANCE AGENT, JOHN WILL MAKE HIMSELF AVAILABLE TO HELP THE CLIENT AS AN INDEPENDENT INSURANCE AGENT. IN DOING SO, JOHN WILL ENCOURAGE THE CLIENT TO MAKE PERSONAL RISK EVALUATIONS AND COST-BENEFIT ANALYSES WITH REGARD TO POTENTIAL INSURANCE COMPANIES, INSURANCE PRODUCTS, AND INSURANCE PROVIDERS WITHIN THE MARKETPLACE BEFORE COMMITTING TO AN INSURANCE PURCHASE. JOHN PROVIDES WRITTEN DISCLOSURES TO THE CLIENT THAT STRESS THE IMPORTANCE OF SUCH COMPARISONS BY THE CLIENT AS A CONSUMER IN ADDITION TO EXPLAINING HIS REPRESENTATION AND COMPENSATION AS AN AGENT OF SPECIFIC INSURANCE COMPANIES. ANY INSURANCE-RELATED BUSINESS UNDERTAKEN BY JOHN STEVENSON IS PERFORMED FROM JOHN'S PERSONAL RESIDENCE UNDER HIS OWN NAME AND IS NOT INVESTMENT-RELATED. LESS THAN 2 HOURS PER MONTH HAVE BEEN DEVOTED TO INSURANCE ACTIVITIES AT THIS POINT AND LESS THAN ONE OF THOSE HOURS PER MONTH HAS BEEN DURING SECURITIES TRADING HOURS. JOHN STEVENSON IS ALSO ACTIVELY ENGAGED IN GENERAL, NON-SECURITIES RELATED CONSULTING. THIS ACTIVITY HAS BEEN LIMITED SO FAR TO THE FIELDS OF GENERAL BUSINESS AND MANAGEMENT CONSULTING. THERE ARE NO FORESEEABLE CONFLICTS OF INTEREST BETWEEN PROFESSIONAL WEALTH MANAGEMENT SERVICES AND THE PERSONAL CONSULTING ACTIVITIES PERFORMED BY JOHN STEVENSON. ANY CONSULTING-RELATED BUSINESS UNDERTAKEN BY JOHN STEVENSON IS PERFORMED FROM JOHN'S PERSONAL RESIDENCE UNDER HIS OWN NAME AND IS NOT INVESTMENT-RELATED. LESS THAN 2 HOURS PER MONTH HAVE BEEN DEVOTED TO CONSULTING ACTIVITIES AT THIS POINT AND LESS THAN ONE OF THOSE HOURS PER MONTH HAS BEEN DURING SECURITIES TRADING HOURS. JOHN STEVENSON IS ALSO ACTIVELY ENGAGED IN MANAGING FARMLAND AND TIMBERLAND PROPERTIES HELD BY STEVENSON FARM MANAGEMENT LLC AND STEVENSON MANAGEMENT LLC. THE FARMLAND AND TIMBERLAND PROPERTIES ARE PASSIVELY MANAGED, BEING LONG-TERM IN NATURE OVERALL AND TIMBER ONLY BEING TRIMMED EVERY 5-7 YEARS OR FULLY HARVESTED AND REPLANTED EVERY 15-20 YEARS. ANY MANAGEMENT-RELATED BUSINESS UNDERTAKEN BY JOHN STEVENSON IS PERFORMED FROM JOHN'S PERSONAL RESIDENCE UNDER HIS OWN NAME AND IS NOT INVESTMENT-RELATED. LESS THAN 2 HOURS PER MONTH HAVE BEEN DEVOTED TO MANAGEMENT ACTIVITIES AT THIS POINT AND LESS THAN ONE OF THOSE HOURS PER MONTH HAS BEEN DURING SECURITIES TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view John Gregory Stevenson'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®
NoneExperience
Current
June 17, 2009 - Present
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
Office #1: 211 South Center Street Suite 417, Statesville, NC 28677RIA
CRD#: 150266
STATESVILLE, NC
Past
March 11, 2011 - October 19, 2011
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
March 17, 2005 - July 24, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
RALEIGH, NC
Past
March 16, 2005 - September 21, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
RALEIGH, NC
Past
April 9, 2003 - March 17, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RALEIGH, NC
Past
March 13, 2003 - March 17, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 20, 1997 - December 3, 1998
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 5, 1994 - December 4, 1996
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
Past
August 5, 1994 - December 3, 1998
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
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".
PW
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
CRD#: 150266 / SEC#: 801-123592
RIA
Registered Investment Advisory firm - (4/1/2022 Approved)North Carolina
Registered Investment Advisory firm - (4/20/2022 Terminated)Texas
Registered Investment Advisory firm - (12/2/2015 Terminated)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
North Carolina(6/17/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
PW
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
PROFESSIONAL WEALTH MANAGEMENT SERVICES LLC
CRD#: 150266 / SEC#: 801-123592
RIA
Registered Investment Advisory firm - (4/1/2022 Approved)North Carolina
Registered Investment Advisory firm - (4/20/2022 Terminated)Texas
Registered Investment Advisory firm - (12/2/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
211 South Center Street Suite 417, Statesville, NC 28677
Mailing Address
Phone number
(704) 872-0022
Established
Firm type
Fiscal year end
# of Employees
3
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61 |
| AUM (Assets Under Management) | $ 128,784,322 |
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.
