SH
Steven H. Hafner
KESTRA PRIVATE WEALTH SERVICES
Sandusky, OH 44870
Some features on this profile are disabled
CRD#: 2756191
SH
Professional summary
Steven Hayden Hafner, AIF® is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Sandusky, Ohio and KESTRA INVESTMENT SERVICES, LLC located in Sandusky, Ohio.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Steven has worked at 10 firms and has passed the Series 65, 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.
Business 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 Business 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 Business 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 Business 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.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Hayden Hafner'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
July 9, 2020 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 5004 Timber Commons Drive, Sandusky, OH 44870RIA
CRD#: 155193
Sandusky, OH
Current
June 30, 2020 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5004 Timber Commons Drive, Sandusky, OH 44870Office #2: 3130 Executive Parkway Suite 2f, Toledo, OH 43606BD
CRD#: 42046
Sandusky, OH
Past
March 17, 2015 - July 9, 2020
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Sandusky, OH
Past
March 17, 2015 - July 9, 2020
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 5, 2011 - February 23, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
SANDUSKY, OH
Past
July 5, 2011 - February 23, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
SANDUSKY, OH
Past
November 19, 2003 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 13787
SANDUSKY, OH
Past
November 17, 2003 - July 5, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 13787
SANDUSKY, OH
Past
February 10, 2003 - November 17, 2003
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
RIA
CRD#: 109771
SANDUSKY, OH
Past
January 16, 2003 - November 17, 2003
NEWEDGE SECURITIES, LLC
BD
CRD#: 10674
PITTSBURGH, PA
Past
May 31, 2000 - January 14, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 31, 1997 - May 31, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
October 8, 1996 - April 13, 1998
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(6/30/2020)
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)
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
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA PRIVATE WEALTH SERVICES, LLC
CRD#: 155193Sandusky, OH 44870TRUST BUT VERIFY
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