Steven P. Abels

THE FINANCIAL LEGACY GROUP

Charlotte, NC 28203

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CRD#: 4205168

Professional summary

Steven Paul Abels is a registered financial advisor currently at THE FINANCIAL LEGACY GROUP located in Charlotte, North Carolina and INNOVATION PARTNERS LLC located in Charlotte, North Carolina.

Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, 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.

1. The Financial Legacy Group - Managing Member/ CCO- 04/2017 to Present - Investment Advisor Representative - Investment Advisory Firm - Receive Fees from the activities associated with the Firm. Operate during trading hours 20 + hours per week is spent on this activity. 2. Life Insurance Sales Agent - 04/2017 to Present - Investment Related - Receive Commissions- Charlotte, NC - 2 hours per week

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Paul Abels'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®

None

Experience

Current

May 22, 2017 - Present

THE FINANCIAL LEGACY GROUP

Office #1: 2108 South Blvd Suite 109, Charlotte, NC 28203

RIA

CRD#: 287632

Charlotte, NC

Current

June 10, 2017 - Present

INNOVATION PARTNERS LLC

Office #1: 120 Greenwich Avenue, Charlotte, NC 28211

RIA

CRD#: 146344

Charlotte, NC

Past

September 19, 2014 - June 9, 2017

FORTUNE FINANCIAL SERVICES, INC.

CRD#: 42150

Charlotte, NC

Past

September 17, 2012 - September 22, 2014

CAPITAL GUARDIAN, LLC

CRD#: 137919

CHARLOTTE, NC

Past

September 12, 2012 - May 22, 2017

INTEGRATED FINANCIAL STRATEGIES, LLC

RIA

CRD#: 165007

CHARLOTTE, NC

Past

October 21, 2011 - September 7, 2012

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHARLOTTE, NC

Past

July 28, 2011 - September 7, 2012

LPL FINANCIAL LLC

CRD#: 6413

CHARLOTTE, NC

Past

June 12, 2000 - June 25, 2002

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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.

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

Georgia
(9/29/2017)

IAR

North Carolina
(5/22/2017)

North Carolina
(6/13/2017)

IAR

South Carolina
(12/5/2018)

South Carolina
(1/8/2019)

IAR

Texas
(6/20/2017)

Virginia
(6/10/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/18/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/17/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/27/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/9/2000

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

THE FINANCIAL LEGACY GROUP

THE FINANCIAL LEGACY GROUP | THE FINANCIAL LEGACY GROUP, LLC

CRD#: 287632 / SEC#:

North Carolina

Registered Investment Advisory firm - (5/22/2017 Approved)

South Carolina

Registered Investment Advisory firm - (12/5/2018 Approved)

Texas

Registered Investment Advisory firm - (7/28/2017 Approved)

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Contact information

Main Address

2108 South Blvd Suite 109, Charlotte, NC 28203

Mailing Address

Phone number

(704) 469-6614

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	325
AUM (Assets Under Management)	$ 90,000,000

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 P. Abels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Paul Abels's CRS (Customer Relationship Summary).

Certified licenses

Experience

INNOVATION PARTNERS LLC

FORTUNE FINANCIAL SERVICES, INC.

CAPITAL GUARDIAN, LLC

INTEGRATED FINANCIAL STRATEGIES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NEW ENGLAND SECURITIES

State Registrations and Notice Filings

Exams

Series 66

Date: 10/18/2011

Series 63

Date: 7/17/2000

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/27/2011

Series 6

Date: 6/9/2000

FINRA

Current Firm

THE FINANCIAL LEGACY GROUP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

THE FINANCIAL LEGACY GROUP

TRUST BUT VERIFY

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