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Steven H. Livitz

WATERLOO CAPITAL
AUSTIN, TX 78746
Some features on this profile are disabled
CRD#: 4316223
SL

Professional summary

Steven Harris Livitz is a registered financial advisor currently at WATERLOO CAPITAL located in Austin, Texas.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Steven has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Harris Livitz'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

August 4, 2023 - Present

WATERLOO CAPITAL

Office #1: 1250 S Capital Of Texas Hwy Bldg. 3-400, Austin, TX 78746
RIA
CRD#: 133705
AUSTIN, TX
Past

October 2, 2018 - December 18, 2023

IRONCLAD STRATEGIES LLC

RIA
CRD#: 297260
AUSTIN, TX
Past

January 3, 2018 - October 1, 2018

KESTRA ADVISORY SERVICES, LLC

RIA
CRD#: 283330
AUSTIN, TX
Past

January 3, 2018 - October 1, 2018

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

January 5, 2012 - January 3, 2018

SII INVESTMENTS, INC.

RIA
CRD#: 2225
WEST LAKE HILLS, TX
Past

January 5, 2012 - January 3, 2018

SII INVESTMENTS, INC.

BD
CRD#: 2225
WEST LAKE HILLS, TX
Past

April 21, 2011 - January 30, 2012

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
AUSTIN, TX
Past

March 21, 2011 - January 30, 2012

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
AUSTIN, TX
Past

April 25, 2006 - December 31, 2006

LIVITZ TRADING GROUP, LLC

RIA
CRD#: 139946
AUSTIN, TX
Past

March 1, 2004 - March 31, 2005

CYBERTRADER, INC.

BD
CRD#: 44523
AUSTIN, TX
Past

July 16, 2003 - November 3, 2003

ELECTRONIC TRADING GROUP, LLC

BD
CRD#: 37453
NEW YORK, NY
Past

February 15, 2001 - June 19, 2003

PROTRADER SECURITIES L.P.

BD
CRD#: 35233
AUSTIN, 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".
WATERLOO CAPITAL
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT

CRD#: 133705 / SEC#: 801-63975

RIA
Registered Investment Advisory firm - (3/11/2005 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
Texas
(8/4/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/14/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/18/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 11/24/2004
National Commodity Futures Examination

Current Firm

WATERLOO CAPITAL
WATERLOO CAPITAL
AMG WEALTH ADVISORS | WATERLOO CAPITAL, L.P. | WATERLOO CAPITAL MANAGEMENT | WATERLOO CAPITAL | VIRTUS PRIVATE WEALTH MANAGEMENT | TEAM PRIVATE WEALTH MANAGEMENT, LLC | STRATEGIC CAPITAL | PLANNINGWORKS, INC. | MARKET STREET CAPITAL | LIGHTHOUSE FINANCIAL ADVISORS LLC | LIGHTHOUSE FINANCIAL | LIBERTY PARK | IRONCLAD STRATEGIES | HAP NIELSEN INVESTMENTS | ELEMENT RETIREMENT & INVESTMENT CONSULTANTS, LLC | EBERLY WEALTH MANAGEMENT

CRD#: 133705 / SEC#: 801-63975

RIA
Registered Investment Advisory firm - (3/11/2005 Approved)
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Contact information

Main Address
2801 Via Fortuna Suite 250, Austin, TX 78746
Mailing Address
Phone number
(512) 777-5900
Established
Firm type
Fiscal year end
# of Employees
54

SEC notice filing (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WATERLOO CAPITAL WRAP FEE PROGRAM BROCHURE (12/23/2025)
WATERLOO CAPITAL PART 2A (12/23/2025)

Regulatory assets under management

Total Number of Accounts6,775
AUM (Assets Under Management)$ 1,686,618,820

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.

Company Information

WATERLOO CAPITAL

WATERLOO CAPITAL

CRD#: 133705Austin, TX 78746

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