Stephen J. Avery
Q3 ADVISORS
Sarasota, FL
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CRD#: 4082364
Professional summary
Stephen John Avery, CFP®, ChFC®, who also goes by Steven George Avery, is a registered financial advisor currently at Q3 ADVISORS, LLC located in Sarasota, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stephen has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven George Avery
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.
NAME OF ENTITY:DSF WEALTH MANAGEMENT GROUP LLC; Yes; 1195 WASHINGTON PIKE STE 102; BRIDGEVILLE; PA; 15017; FINANCIAL SERVICES/DBA; FINANCIAL PROFESSIONAL; 8/1/2017; 160; 160; SALE AND SERVICE INSURANCE,SECURITIES PRODUCTS.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1195 WASHINGTON PIKE STE 102; BRIDGEVILLE; PA; 15017; FIXED INSURANCE; INDEPENDENT INSURANCE AGENT; 8/18/2017; 160; 160; SELL OF FIXED INSURANCE PRODUCTS.|NAME OF ENTITY:Avery Financial Planning, LLC; Yes; 1846 Concord Dr; Allison Park; PA; 15101; FINANCIAL SERVICES/DBA; President/Owner; 10/28/2017; 300; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS.|
CRS (Client Relationship Summary) - RIA
Click below to view Stephen John Avery'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®
CFP®
Start date: 2021
Experience
Current
May 2, 2024 - Present
Q3 ADVISORS, LLC
RIA
CRD#: 284220
Sarasota, FL
Past
May 2, 2023 - December 31, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
SARASOTA, FL
Past
June 4, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SARASOTA, FL
Past
May 11, 2021 - December 31, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SARASOTA, FL
Past
August 29, 2017 - June 11, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SARASOTA, FL
Past
August 28, 2017 - June 11, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SARASOTA, FL
Past
August 18, 2017 - August 21, 2017
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BRIDGEVILLE, PA
Past
January 2, 2013 - August 28, 2017
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
November 13, 2009 - January 7, 2013
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
October 30, 2007 - November 6, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
April 6, 2004 - October 8, 2007
GLOBAL ATLANTIC DISTRIBUTORS, LLC
BD
CRD#: 8326
HARTFORD, CT
Past
May 6, 2003 - April 19, 2004
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
TULSA, OK
Past
January 17, 2000 - April 19, 2004
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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".
QA
Q3 ADVISORS, LLC
CRAIG G WEAR | Q3 ADVISORS, LLC
CRD#: 284220 / SEC#: 801-129519
RIA
Registered Investment Advisory firm - (2/21/2024 Approved)Arizona
Registered Investment Advisory firm - (4/17/2024 Terminated)California
Registered Investment Advisory firm - (5/17/2024 Terminated)Florida
Registered Investment Advisory firm - (4/17/2024 Terminated)Illinois
Registered Investment Advisory firm - (4/17/2024 Terminated)Louisiana
Registered Investment Advisory firm - (4/26/2024 Terminated)Michigan
Registered Investment Advisory firm - (4/30/2024 Terminated)Minnesota
Registered Investment Advisory firm - (4/22/2024 Terminated)Tennessee
Registered Investment Advisory firm - (4/17/2024 Terminated)Texas
Registered Investment Advisory firm - (4/17/2024 Terminated)Virginia
Registered Investment Advisory firm - (5/9/2024 Terminated)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(5/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
QA
Q3 ADVISORS, LLC
CRAIG G WEAR | Q3 ADVISORS, LLC
CRD#: 284220 / SEC#: 801-129519
RIA
Registered Investment Advisory firm - (2/21/2024 Approved)Arizona
Registered Investment Advisory firm - (4/17/2024 Terminated)California
Registered Investment Advisory firm - (5/17/2024 Terminated)Florida
Registered Investment Advisory firm - (4/17/2024 Terminated)Illinois
Registered Investment Advisory firm - (4/17/2024 Terminated)Louisiana
Registered Investment Advisory firm - (4/26/2024 Terminated)Michigan
Registered Investment Advisory firm - (4/30/2024 Terminated)Minnesota
Registered Investment Advisory firm - (4/22/2024 Terminated)Tennessee
Registered Investment Advisory firm - (4/17/2024 Terminated)Texas
Registered Investment Advisory firm - (4/17/2024 Terminated)Virginia
Registered Investment Advisory firm - (5/9/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Arvada, CO
Mailing Address
7314 Ralston Rd, Arvada, CO 80002
Phone number
(720) 730-9892
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (21 States and Territories)
Documents
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.
