Gregory J. Steele

SILVERLAKE WEALTH MANAGEMENT LLC

HUNTINGTON, NY

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CRD#: 2571053

Professional summary

Gregory John Steele is a registered financial advisor currently at SILVERLAKE WEALTH MANAGEMENT LLC located in Huntington, New York.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Gregory has worked at 7 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Steele'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

May 7, 2024 - Present

SILVERLAKE WEALTH MANAGEMENT LLC

RIA

CRD#: 165525

HUNTINGTON, NY

Past

April 3, 2023 - April 2, 2024

COHEN & COMPANY SECURITIES, LLC

CRD#: 149758

Locust Valley, NY

Past

July 2, 2018 - October 27, 2022

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

May 22, 2012 - January 30, 2018

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

September 16, 2009 - September 29, 2011

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

June 7, 1999 - September 9, 2009

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

February 13, 1995 - June 7, 1999

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

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".

SILVERLAKE WEALTH MANAGEMENT LLC

ESSEX WEALTH MANAGEMENT LLC | SILVERLAKE WEALTH MANAGEMENT LLC | SILVER LAKE WEALTH MANAGMENT LLC

CRD#: 165525 / SEC#: 801-97340

RIA

Registered Investment Advisory firm - (6/3/2015 Approved)

Vermont

Registered Investment Advisory firm - (3/14/2016 Terminated)

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).

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

New York
(5/7/2024)

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: 5/7/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 1/25/2005

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 2/11/1995

General Securities Representative Examination

Current Firm

SILVERLAKE WEALTH MANAGEMENT LLC

ESSEX WEALTH MANAGEMENT LLC | SILVERLAKE WEALTH MANAGEMENT LLC | SILVER LAKE WEALTH MANAGMENT LLC

CRD#: 165525 / SEC#: 801-97340

RIA

Registered Investment Advisory firm - (6/3/2015 Approved)

Vermont

Registered Investment Advisory firm - (3/14/2016 Terminated)

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Contact information

Main Address

33 Blair Park Road Suite 100, Williston, VT 05495

Mailing Address

Phone number

(802) 857-5083

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SILVER LAKE DISCLOSURE BROCHURE, BROCHURE SUPPLEMENTS, AND PRIVACY POLICY (6/30/2025)

Regulatory assets under management

Total Number of Accounts	1,892
AUM (Assets Under Management)	$ 572,662,800

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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Gregory J. Steele

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory John Steele's CRS (Customer Relationship Summary).

Certified licenses

Experience

COHEN & COMPANY SECURITIES, LLC

MIZUHO SECURITIES USA LLC

RBC CAPITAL MARKETS, LLC

MACQUARIE CAPITAL (USA) INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

Primary Firm SEC Registration

SILVERLAKE WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/7/2024

Series 63

Date: 3/16/1995

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 1/25/2005

Series 7

Date: 2/11/1995

Current Firm

SILVERLAKE WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SILVERLAKE WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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