SP
Stephen R. Popper
SAGEVIEW ADVISORY GROUP
BOSTON, MA 02110
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CRD#: 2699822
SP
Professional summary
Stephen Richard Popper, AIF® is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Boston, Massachusetts and CETERA WEALTH SERVICES, LLC located in Boston, Massachusetts.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Stephen has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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) SAGEVIEW ADVISORY GROUP, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, OUTSIDE RIA - ADVISORY BUSINESS, 40HRS/WK (32.5 TRADING HOURS), ADVISORY REPRESENTATIVE; (2) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, SAME AS REGISTERED ADDRESS, INSURANCE AGENT - SELLS ANNUITIES; (3) NAME OF OTHER BUSINESS: GAME CREEK PARTNERS LLP ; INVESTMENT RELATED: NO ADDRESS: 9209 WADSWORTH DRIVE, BETHESDA MD 20817 NATURE OF BUSINESS: REAL ESTATE RENTALS ; START DATE: 01/2020 POSITION/TITLE/RELATIONSHIP: OWNER / INVESTOR APX NUMBER OF HOURS PER WEEK: 1-2 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2 ; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE HOLDER AND LANDLORD DUTIES ; (4) NAME OF OTHER BUSINESS: PENSION ACTION CENTER AT UMASS ; INVESTMENT RELATED: NO ADDRESS: 100 MORRISSEY BLVD, BOSTON, MA 02125 ; NATURE OF BUSINESS: BOARD MEMBER ; START DATE: 01/202 POSITION/TITLE/RELATIONSHIP: ADVISORY BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: PROVIDE GUIDANCE AND INSIGHT ON PROCESSED AND PROVIDING ACCESS TO NETWORKS. FUNDRAISING ;
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Richard Popper'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®
Experience
Current
January 3, 2007 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 200 High Street, Boston, MA 02110RIA
CRD#: 126777
BOSTON, MA
Current
December 5, 2005 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 200 High Street, Boston, MA 02110BD
CRD#: 13572
BOSTON, MA
Past
April 4, 2005 - October 18, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
May 4, 2000 - March 31, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
Past
April 24, 1996 - July 10, 1996
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 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(12/5/2005)
IAR
California(1/3/2007)
RR
Massachusetts(12/5/2005)
IAR
Massachusetts(7/10/2009)
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
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SAGEVIEW ADVISORY GROUP, LLC
CRD#: 126777Boston, MA 02110TRUST BUT VERIFY
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