Stephen E. Green

Some features on this profile are disabled

CRD#: 2720262

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Stephen Edward Green, CFP®, who also goes by Stephen E Green, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1996. Stephen had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen E Green

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.

MR. GREEN SERVES AS AN AGENT FOR VARIOUS INSURANCE COMPANIES, PROVIDING NON-INVESTMENT INSURANCE PRODUCTS, AND GENERALLY DEVOTES LESS THAN 5 HOURS PER MONTH RELATED TO THESE ACTIVITIES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2005

Experience

Past

August 27, 2016 - May 2, 2023

KRILOGY

RIA

CRD#: 149046

ST. LOUIS, MO

Past

August 26, 2008 - July 11, 2016

OPTIMUM WEALTH MANAGEMENT, LLC

RIA

CRD#: 147688

ST. LOUIS, MO

Past

November 29, 2002 - August 26, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CLAYTON, MO

Past

November 29, 2002 - August 26, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CLAYTON, MO

Past

August 5, 1996 - December 12, 2002

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

CLAYTON, MO

Past

May 14, 1996 - December 12, 2002

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 21, 1996 - June 3, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

March 21, 1996 - June 3, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

KRILOGY

CRD#: 149046 / SEC#: 801-69838

RIA

Registered Investment Advisory firm - (1/12/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/22/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/27/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 5/4/1998

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/20/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/23/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 11/20/2000

General Securities Sales Supervisor - Options Module Examination

Current Firm

KRILOGY

CRD#: 149046 / SEC#: 801-69838

RIA

Registered Investment Advisory firm - (1/12/2009 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

275 N. Lindbergh Ste. 20, St. Louis, MO 63141

Mailing Address

Phone number

(314) 884-2800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WRAP FEE BROCHURE (3/31/2025)

KRILOGY FINANCIAL, LLC CLIENT BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	10,780
AUM (Assets Under Management)	$ 4,954,332,013

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/13/2025	Cover Page	Report
02/27/2025	Cover Page	Report
10/12/2023	Cover Page	Report
01/03/2023	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen E. Green

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OPTIMUM WEALTH MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

KRILOGY

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/1996

Series 63

Date: 3/27/1996

Series 3

Date: 5/4/1998

Series 7

Date: 3/20/1996

Series 10

Date: 2/23/2001

Series 9

Date: 11/20/2000

Current Firm

KRILOGY

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

KRILOGY

TRUST BUT VERIFY

Similar Advisors