Dewey D. Steffen
GREAT LAKES WEALTH
Northville, MI 48167
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CRD#: 2688651
Professional summary
Dewey Deane Steffen is a registered financial advisor currently at GREAT LAKES WEALTH, LLC located in Northville, Michigan and PURSHE KAPLAN STERLING INVESTMENTS located in Northville, Michigan.
Dewey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Dewey has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 52 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) WILLIAM BEAUMONT HOSPITAL. NOT INVESTMENT RELATED. 3711 W. THIRTEEN MILE ROAD ROYAL OAK, MI 48073. ON BOARD OF TRUSTEES. TRUSTEE. 1/1/2011. 2 HRS/MO; 0 DURING TRADING HOURS. COMMUNITY OUTREACH & 2 BOARD MEETINGS PER YEAR.
2)Landlord for House in Royal Oak MI. Not Investment Related. 527 S Kenwood Ave, Royal Oak, MI 48067. Landlord. Owner/Landlord. 04/2002. 5-10 Hrs/Mo; 0 During Trading Hours. Inspect and Oversee any Maintenance Issues.
3)Great Lakes Wealth. Investment Related. 22260 Haggerty Road, Suite 160, Northville, MI 48167. Wealth Management. CEO. 07/01/2016. 40 Hrs/Wk, 12 Mo/Yr; 6.5 Hrs During Trading Hours. Investment Solutions for Clients.
4)PKSF-Investment related-80 State St, Albany, NY 12207-Insurance-Agent-7/6/2016-20 hrs/mth-2 during trading hrs-Works with clients on insurance & annuity needs.
CRS (Client Relationship Summary) - RIA
Click below to view Dewey Deane Steffen'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
July 5, 2016 - Present
GREAT LAKES WEALTH, LLC
Office #1: 22260 Haggerty Road Suite 160, Northville, MI 48167RIA
CRD#: 282362
Northville, MI
Current
July 5, 2016 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 22260 Haggerty Road Suite 160, Northville, MI 48167BD
CRD#: 35747
Northville, MI
Past
October 20, 2008 - July 12, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
FARMINGTON HILLS, MI
Past
February 23, 2007 - July 12, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
FARMINGTON HILLS, MI
Past
March 30, 2001 - March 8, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
FARMINGTON, MI
Past
June 3, 1997 - April 26, 2001
COMERICA SECURITIES
BD
CRD#: 17079
DETROIT, MI
Past
December 7, 1995 - June 4, 1997
AMERIPRISE ADVISOR SERVICES, INC.
BD
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".
GL
GREAT LAKES WEALTH, LLC
AMERICAN PRIVATE WEALTH | LANGTREE WEALTH | GREAT LAKES WEALTH, LLC | GREAT LAKES PRIVATE WEALTH | AMERICAN WEALTH, LLC
CRD#: 282362 / SEC#: 801-121370
RIA
Registered Investment Advisory firm - (6/2/2021 Approved)Michigan
Registered Investment Advisory firm - (8/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (8/17/2021 Terminated)Texas
Registered Investment Advisory firm - (8/13/2021 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.RR
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
RR
California(1/31/2017)
RR
Florida(9/16/2016)
RR
Georgia(9/16/2016)
RR
Indiana(10/21/2016)
RR
Michigan(7/5/2016)
IAR
Michigan(7/5/2016)
RR
North Carolina(11/20/2017)
RR
Texas(8/17/2016)
RR
Virginia(9/11/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GL
GREAT LAKES WEALTH, LLC
AMERICAN PRIVATE WEALTH | LANGTREE WEALTH | GREAT LAKES WEALTH, LLC | GREAT LAKES PRIVATE WEALTH | AMERICAN WEALTH, LLC
CRD#: 282362 / SEC#: 801-121370
RIA
Registered Investment Advisory firm - (6/2/2021 Approved)Michigan
Registered Investment Advisory firm - (8/16/2021 Terminated)North Carolina
Registered Investment Advisory firm - (8/17/2021 Terminated)Texas
Registered Investment Advisory firm - (8/13/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
22260 Haggerty Road Suite 160, Northville, MI 48167
Mailing Address
Phone number
(248) 378-1200
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 921 |
| AUM (Assets Under Management) | $ 143,150,134 |
Red Flags
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