Steven Hayden Hafner, AIF | Financial Professional | Sandusky, Ohio | KESTRA PRIVATE WEALTH SERVICES, LLC

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Contact Information

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Disclosures on record.

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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Credentials

AIF®

Accredited Investment Fiduciary

Years of Experience

30 years registered in the securities industry

Current & Past Employments

Current

KESTRA PRIVATE WEALTH SERVICES, LLCCurrent·CRD# 155193

RIA

5004 Timber Commons, Sandusky, OH 44870

July 9, 2020 - Present

KESTRA INVESTMENT SERVICES, LLCCurrent·CRD# 42046

BD

1. 5004 Timber Commons Drive, Sandusky, OH 448702. 3130 Executive Parkway Suite 2f, Toledo, OH 43606

June 30, 2020 - Present

Past

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

RIA

Sandusky, OH

March 17, 2015 - July 9, 2020

UBS FINANCIAL SERVICES INC.Past·CRD# 8174

BD

Weehawken, NJ

March 17, 2015 - July 9, 2020

LPL FINANCIAL LLCPast·CRD# 6413

RIA

Sandusky, OH

July 5, 2011 - February 23, 2015

LPL FINANCIAL LLCPast·CRD# 6413

BD

Sandusky, OH

July 5, 2011 - February 23, 2015

UVEST FINANCIAL SERVICES GROUP, INC.Past·CRD# 13787

RIA

Sandusky, OH

November 19, 2003 - July 5, 2011

UVEST FINANCIAL SERVICES GROUP, INC.Past·CRD# 13787

BD

Sandusky, OH

November 17, 2003 - July 5, 2011

MID ATLANTIC FINANCIAL MANAGEMENT, INC.Past·CRD# 109771

RIA

Sandusky, OH

February 10, 2003 - November 17, 2003

NEWEDGE SECURITIES, LLCPast·CRD# 10674

BD

Pittsburgh, PA

January 16, 2003 - November 17, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDPast·CRD# 7691

BD

New York, NY

May 31, 2000 - January 14, 2003

PRUDENTIAL EQUITY GROUP, LLCPast·CRD# 7471

BD

New York, NY

March 31, 1997 - May 31, 2000

VOYA FINANCIAL PARTNERS, LLCPast·CRD# 34815

BD

Windsor, CT

October 8, 1996 - April 13, 1998

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Current Firm

KP

KESTRA PRIVATE WEALTH SERVICES, LLC

CRD#: 155193 / SEC#: 801-71936

RIA

Registered Investment Advisory firm - SEC (11/22/2010 Approved)

Contact Information

Main Address

5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735

Phone Number

(844) 553-7872

# of Employees

211

SEC notice filing (53 States and Territories)

Registered to provide investment advisory services in 53 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

KESTRA PRIVATE WEALTH SERVICES, LLC ADVISORENTERPRISE WRAP FEE BROCHURE (9/22/2026)

KPWS - BROCHURE (9/22/2026)

Regulatory Assets Under Management

Total Number of Accounts

33,333

AUM (Assets Under Management)

$13,452,224,033

Accountant Surprise Examination Report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/01/2025	Cover Page	Report
12/23/2024	Cover Page	Report

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Name: FSB PROPERTIES LLC POSITION: Sole owner 100% NATURE: Real Estate INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 03/01/1985 ADDRESS: c/o Steven Hafner, 4218 Windham Place S., Sandusky OH 44870 DESCRIPTION: Collect monthly rent, pay bills, upkeep of property Name: 1)True Alpha Wealth Management dba Investment Related: Yes Address: Timber Commons Drive Sandusky OH 44870 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance; Investment Advisory services through an independent outside RIA Position, Title or Relationship: managing partner Start Date: 6/30/2020 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: new business, servicing existing business, assist in driving True Alpha growth Name: Catholic Charities of Erie County, Ohio Investment Related: No Address: 428 Tiffin Avenue Sandusky OH 44870 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Board member Start Date: 2/1/2018 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: attend monthly board meetings Name: Serving Our Seniors of Erie County, Ohio Investment Related: No Address: 310 E. Boalt Street Sandusky OH 44870 Nature of Business: Board Position (Board of Directors, Board of Trustees, etc.) Position, Title or Relationship: Member of Board of Directors Member of Finance Committee Start Date: 2/1/2015 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Monthly Board meetings and Monthly Finance Committee meetings Name: SHH INVESTMENTS LLC POSITION: Sole Member NATURE: Single Member LLC set up to run my Kestra revenue through and pay business related expenses INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 10/20/2023 ADDRESS: 4218 Windham Place S., Sandusky OH 44870 DESCRIPTION: I move my revenue into the SHH Investments business account, and pay expenses from it.

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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".

KP

KESTRA PRIVATE WEALTH SERVICES, LLC

CRD#: 155193 / SEC#: 801-71936

RIA

Registered Investment Advisory firm - SEC (11/22/2010 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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

California
(6/30/2020)

RR

Colorado
(12/5/2025)

RR

Florida
(6/30/2020)

RR

Illinois
(10/27/2022)

RR

Indiana
(8/3/2022)

RR

Kansas
(3/4/2025)

RR

Kentucky
(3/7/2024)

RR

Maryland
(1/24/2024)

RR

Michigan
(6/30/2020)

RR

Minnesota
(6/30/2020)

RR

New York
(3/2/2021)

RR

North Carolina
(7/13/2020)

RR

Ohio
(7/9/2020)

IAR

Ohio
(7/9/2020)

RR

Pennsylvania
(6/30/2020)

RR

South Carolina
(6/30/2020)

RR

Tennessee
(6/30/2020)

RR

Texas
(6/30/2020)

IAR

Texas
(4/1/2026)

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.