Steven L. Floyd

BROOKSTONE WEALTH ADVISORS

Marina Del Rey, CA

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CRD#: 3173794

Professional summary

Steven Lee Floyd, who also goes by Steve Floyd, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Marina Del Rey, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Steven has worked at 12 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve Floyd

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.

STEVEN L. FLOYD, Inc. aka Steven Floyd; INVESTMENT RELATED; 8601 FALMOUTH AVE. #410, CA 90293; ANNUITIES, INSURANCE AND TAX PLANNING/PREPARATION; OWNER; STARTED 12/2009; 15 HOURS/MONTH DEVOTED; 15 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; SALE OF ANNUITIES AND INSURANCE AND ALSO PROVIDE TAX PLANNING/PREPARATION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lee Floyd'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®

None

Experience

Current

December 13, 2022 - Present

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Marina Del Rey, CA

Past

July 1, 2022 - July 25, 2022

INTEGRITY ADVISORY SOLUTIONS

RIA

CRD#: 288817

Playa Del Rey, CA

Past

May 1, 2020 - August 25, 2023

THE RETIREMENT INCOME GROUP LLC

RIA

CRD#: 308438

PLAYA DEL REY, CA

Past

May 29, 2018 - May 1, 2020

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

Playa Del Ray, CA

Past

February 1, 2018 - September 12, 2018

FOCUS1ADVISORS

RIA

CRD#: 165767

MANHATTAN BEACH, CA

Past

May 1, 2013 - December 31, 2017

FOCUS1ADVISORS

RIA

CRD#: 165767

MANHATTAN BEACH, CA

Past

August 26, 2010 - May 2, 2013

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

TORRANCE, CA

Past

March 5, 2007 - January 1, 2011

BENCHMARK CAPITAL ADVISORS INC

RIA

CRD#: 142624

TORRANCE, CA

Past

January 3, 2007 - September 19, 2008

PACIFIC WEST SECURITIES, INC.

CRD#: 6390

TORRANCE, CA

Past

May 5, 2005 - January 8, 2007

LAGOS WEALTH ADVISORS

RIA

CRD#: 117551

ORANGE, CA

Past

May 5, 2005 - December 18, 2006

CENTAURUS FINANCIAL, INC.

CRD#: 30833

ORANGE, CA

Past

January 26, 2005 - May 11, 2005

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

EL SEGUNDO, CA

Past

January 7, 2005 - May 11, 2005

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

SAN JUAN CAPISTRANO, CA

Past

May 11, 2004 - January 3, 2005

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

TORRANCE, CA

Past

November 19, 2003 - December 31, 2004

APD FINANCIAL

RIA

CRD#: 114452

TORRANCE, CA

Past

June 8, 2000 - January 3, 2005

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

May 11, 1999 - June 14, 2000

AVANTAX INVESTMENT SERVICES, INC.

CRD#: 13686

DALLAS, TX

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".

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 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.

Highlighted states indicate IAR registrations

IAR

California
(12/13/2022)

IAR

Louisiana
(12/13/2022)

IAR

North Carolina
(12/13/2022)

IAR

Texas
(12/13/2022)

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 66

Date: 9/6/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/18/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/29/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

CRD#: 137658 / SEC#: 801-67628

RIA

Registered Investment Advisory firm - (3/16/2007 Approved)

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Contact information

Main Address

1745 S Naperville Rd Suite 200, Wheaton, IL 60189

Mailing Address

Phone number

(630) 653-1400

Established

Firm type

Fiscal year end

# of Employees

244

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RWA ADV 2A (7/30/2025)

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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Advisor Monitoring

Firm Stability Insights

Steven L. Floyd

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Lee Floyd's CRS (Customer Relationship Summary).

Certified licenses

Experience

INTEGRITY ADVISORY SOLUTIONS

THE RETIREMENT INCOME GROUP LLC

BROOKSTONE WEALTH ADVISORS, LLC

FOCUS1ADVISORS

FOCUS1ADVISORS

BROOKSTONE WEALTH ADVISORS, LLC

BENCHMARK CAPITAL ADVISORS INC

PACIFIC WEST SECURITIES, INC.

LAGOS WEALTH ADVISORS

CENTAURUS FINANCIAL, INC.

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

APD FINANCIAL

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

AVANTAX INVESTMENT SERVICES, INC.

Primary Firm SEC Registration

BROOKSTONE WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/6/2001

Series 63

Date: 1/21/1999

Series 7

Date: 5/18/2000

Series 6

Date: 4/29/1999

Current Firm

BROOKSTONE WEALTH ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

BROOKSTONE WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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