Stephen M. Fisher

INDEPENDENT WEALTH MANAGEMENT

TRAVERSE CITY, MI 49684

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CRD#: 2910130

Professional summary

Stephen Michael Fisher, CFP®, who also goes by Stephen M Fisher, is a registered financial advisor currently at INDEPENDENT WEALTH MANAGEMENT, LLC located in Traverse City, Michigan.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Stephen has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen M Fisher

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. I AM TREASURER OF F-11, INC, A SUBCHAPTER S CORPORATION THAT OPERATES A SMALL PRINTING COMPANY IN PETOSKEY, MI. 2. I AM ALSO THE SECRETAY OF THE WILLIAM A. FISHER, II FAMILY FOUNDATION, A 501C3 PRIVATE FOUNDATION CREATED BY MY MOTHER. 3. I AM THE CUSTODIAN OF 6 UGMA / UTMA ACCOUNTS FOR MY DAUGHTER AND 5 NEICES AND 1 NEPHEW. MY DAUGHTER'S NAME IS VICTORIA P. FISHER. MY NEICE'S NAMES ARE HANNAH P. FISHER, MADELINE P. FISHER, ZOE M. FISHER AND ALISON I. FISHER. MY NEPHEW'S NAME IS BROOKS T. FISHER.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Fisher's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

January 18, 2011 - Present

INDEPENDENT WEALTH MANAGEMENT, LLC

Office #1: 236 1/2 E. Front St Suite 17, Traverse City, MI 49684

RIA

CRD#: 124242

TRAVERSE CITY, MI

Past

March 4, 2010 - December 31, 2010

INDEPENDENT WEALTH MANAGEMENT, LLC

RIA

CRD#: 124242

TRAVERSE CITY, MI

Past

July 25, 1997 - January 2, 2008

OSAIC WEALTH, INC.

CRD#: 23131

TRAVESE CITY, 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".

INDEPENDENT WEALTH MANAGEMENT, LLC

FISHER, STEPHEN MICHAEL | INDEPENDENT WEALTH MANAGEMENT, LLC

CRD#: 124242 / SEC#: 801-120528

RIA

Registered Investment Advisory firm - (3/16/2021 Approved)

Florida

Registered Investment Advisory firm - (3/18/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/19/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(6/6/2016)

IAR

Michigan
(1/18/2011)

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

Series 63

Date: 7/25/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/24/1997

General Securities Representative Examination

Current Firm

INDEPENDENT WEALTH MANAGEMENT, LLC

FISHER, STEPHEN MICHAEL | INDEPENDENT WEALTH MANAGEMENT, LLC

CRD#: 124242 / SEC#: 801-120528

RIA

Registered Investment Advisory firm - (3/16/2021 Approved)

Florida

Registered Investment Advisory firm - (3/18/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/19/2021 Terminated)

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Contact information

Main Address

236 1/2 E. Front St, Traverse City, MI 49684

Mailing Address

Phone number

(231) 929-1086

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PT 2BS FISHER, BERGER, HACKNEY (1/29/2025)

INDEPENDENT WEALTH MANAGEMENT, LLC FOR ADV, PART 2A. (1/29/2025)

Regulatory assets under management

Total Number of Accounts	506
AUM (Assets Under Management)	$ 175,368,687

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.

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Stephen M. Fisher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Michael Fisher's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT WEALTH MANAGEMENT, LLC

INDEPENDENT WEALTH MANAGEMENT, LLC

OSAIC WEALTH, INC.

Primary Firm SEC Registration

INDEPENDENT WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/1997

Series 7

Date: 7/24/1997

Current Firm

INDEPENDENT WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

INDEPENDENT WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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