SI
Stephen G. Imboden
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CRD#: 3103474
SI
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 George Imboden was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1999. Stephen had worked at 2 firms and has passed the Series 66, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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) Fiduciary Appointment-Trustee;; 1400 N Dutton Avenue, Suite 22, Santa Rosa, CA 95401; 8/25/2016; 2hrs; 2hrs; Maintain a bank acct for the trust and disburse funds either directly to or on the behalf of the beneficiary for her living , health, and well-being expenses. 2) Stephen G. Imboden, CPA; 1400 N. Dutton Avenue, Suite 22, Santa Rosa, CA 95401; Tax Preparation/Accounting, Owner/Sole Proprietor; 1/1/2009; 160hrs; 160hrs; Tax planning and preparation; accounting services. 3) Fiduciary Appointment-Trustee; 1400 N. Dutton Avenue, Suite 22, Santa Rosa, CA 95401; 1/3/2014; 1hrs; 0hrs; Hold funds in cash. No activity since inception of this trust. The funds are to be disbursed in full to the beneficiary on July 1, 2022. 4) CHARLES H SERLIS REVOCABLE LIVING TRUST; Successor Trustee: Deceased party's trust administration INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 06/18/2021 ADDRESS: 5746 Raters Drive, Santa Rosa CA 95409, Liquidate investments and consolidate all cash into trust bank account; pay all final expenses of the decedent and those related to the trust administration; transfer personal residence to beneficiary; file final individual and trust tax returns; make final distribution to beneficiaries (charities). 5) AVANTAX INSURANCE AGENCY AND/OR AVANTAX INSURANCE SERVICES; Agent: Sell life insurance products INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/23/2021 ADDRESS: 5746 Raters Drive, Santa Rosa CA 95409, Offer insurance policies to my clients. 6) SURVIVING GRANTORS TRUST UNDER THE NICHOLAS SCHRODER AND JOANNE SCHRODER TRUST AGREEMENT DATED APRIL 18, 1997 POSITION: Successor Trustee NATURE: Trust administration; Trustor passed away on February 5, 2023. Trustees duties are to gather the assets of the trust and distribute them to the Trustors two adult children INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 40 START DATE: 02/05/2023 ADDRESS: 5746 Raters Drive, Santa Rosa CA 95409, United States DESCRIPTION: Inventory assets (cash, investments, real estate), liquidate those assets and distribute the proceeds to the trust beneficiaries. 7) NICHOLAS SCHRODER, JR. AND JOANNE LUCILLE SCHRODER EXEMPTION TRUST POSITION: Successor Trustee NATURE: I am responsible for taking control of the trust's assets (two Merrill Lynch brokerage accounts) and distribute those assets to the two trust beneficiaries INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/05/2023 ADDRESS: 5746 Raters Drive, Santa Rosa CA 95409, United States DESCRIPTION: I am responsible for taking control of the trust's assets (two Merrill Lynch brokerage accounts) and distribute those assets to the two trust beneficiaries.
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®
NoneExperience
Past
June 4, 1999 - October 10, 2023
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Santa Rosa, CA
Past
January 21, 1999 - October 10, 2023
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Santa Rosa, CA
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.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
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Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
