Steven R. Herbst

CHARLES SCHWAB & CO.

Brookfield, WI 53005

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CRD#: 2577565

Professional summary

Steven Robert Herbst, who also goes by Steve Herbst, Steven R Herbst, is a registered financial advisor currently at CHARLES SCHWAB & CO., INC. located in Brookfield, Wisconsin and JOHNSON WEALTH INC. located in Milwaukee, Wisconsin.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Steven has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 exams.

Aliases

Steve Herbst | Steven R Herbst

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.

Johnson Bank; investment-related affiliate; 555 E Wells, Milwaukee, WI; wealth management, trust services, banking, loans; Wealth Advisor; August 2026; full-time advisor and dual employee of Johnson bank and Johnson Wealth Inc.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Robert Herbst'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

April 15, 2021 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 305 S Moorland Road, Brookfield, WI 53005

RIA

CRD#: 5393

Brookfield, WI

Current

August 18, 2026 - Present

JOHNSON WEALTH INC.

Office #1: 555 East Wells Street Suite 1900, Milwaukee, WI 53202

RIA

CRD#: 125557

MILWAUKEE, WI

Current

April 15, 2021 - Present

CHARLES SCHWAB & CO., INC.

Office #1: 305 S Moorland Road, Brookfield, WI 53005

RIA

CRD#: 5393

Brookfield, WI

Past

January 2, 2018 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

BROOKFIELD, WI

Past

December 26, 2017 - November 13, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

BROOKFIELD, WI

Past

October 9, 2006 - December 12, 2017

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MEQUON, WI

Past

August 2, 2006 - December 8, 2017

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MEQUON, WI

Past

April 25, 2003 - July 7, 2006

B. C. ZIEGLER AND COMPANY

CRD#: 61

MILWAUKEE, WI

Past

January 20, 1995 - May 7, 2003

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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".

JOHNSON WEALTH INC.

CLEARY GULL ADVISORS INC. | MBO CLEARY ADVISORS INC. | JOHNSON WEALTH INC. | JOHNSON FINANCIAL GROUP INC.

CRD#: 125557 / SEC#: 801-61862

RIA

Registered Investment Advisory firm - (3/4/2003 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.

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

Arizona
(4/10/2024)

California
(7/3/2025)

Colorado
(3/7/2023)

Florida
(4/16/2021)

Idaho
(5/29/2025)

Illinois
(4/21/2021)

Maryland
(11/10/2021)

Massachusetts
(6/25/2024)

Michigan
(6/2/2025)

Minnesota
(11/3/2022)

New York
(6/25/2024)

North Carolina
(11/4/2022)

Texas
(11/3/2022)

Virginia
(11/7/2022)

Washington
(4/20/2022)

Wisconsin
(4/15/2021)

IAR

Wisconsin
(4/15/2021)

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: 9/30/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/2/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/22/1995

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 1/19/1995

Municipal Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

JOHNSON WEALTH INC.

CLEARY GULL ADVISORS INC. | MBO CLEARY ADVISORS INC. | JOHNSON WEALTH INC. | JOHNSON FINANCIAL GROUP INC.

CRD#: 125557 / SEC#: 801-61862

RIA

Registered Investment Advisory firm - (3/4/2003 Approved)

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Contact information

Main Address

555 East Wells Street Suite 1900, Milwaukee, WI 53202

Mailing Address

Phone number

(414) 291-4500

Established

Firm type

Fiscal year end

# of Employees

132

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JWI BROCHURE 3-27-2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	6,888
AUM (Assets Under Management)	$ 9,109,318,040

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/25/2023	Cover Page	Report
12/21/2022	Cover Page	Report

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 R. Herbst

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Robert Herbst's CRS (Customer Relationship Summary).

Certified licenses

Experience

JOHNSON WEALTH INC.

CHARLES SCHWAB & CO., INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

B. C. ZIEGLER AND COMPANY

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

JOHNSON WEALTH INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/30/2006

Series 63

Date: 2/2/1995

SIE

Date: 10/1/2018

Series 7

Date: 6/22/1995

Series 52

Date: 1/19/1995

FINRA

Nasdaq Stock Market

Current Firm

JOHNSON WEALTH INC.

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JOHNSON WEALTH INC.

TRUST BUT VERIFY

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