SY
Stephen C. Yeager
SYM FINANCIAL ADVISORS
Winona Lake, IN 46590
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CRD#: 4334954
SY
Professional summary
Stephen Charles Yeager, who also goes by Stephen C. Yeager, Steve Yeager, is a registered financial advisor currently at SYM FINANCIAL ADVISORS located in Winona Lake, Indiana.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Stephen has worked at 3 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen C. Yeager | Steve Yeager
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.
Business: Kosciusko County Community Foundation, Inc. - Investment-related: Yes - Business Address: 102 E. Market St., Warsaw, IN 46580 - Nature of Business: Charitable - Position: Member, Tracey Yeager Scholarship Fund Committee - Start Date: 3/1/2013 - Hours/Month: 5 hours/year - Hours/Month During Securities Trading Hours: 5 hours/year - Duties: Attend Committee meetings and review scholarship applications. Business: Kosciusko County Community Foundation, Inc. - Investment-related: Yes - Business Address: 102 E. Market St., Warsaw, IN 46580 - Nature of Business: Charitable - Position: Member, Tracey's Trails Scholarship Fund Committee - Start Date: 3/1/2013 - Hours/Month: 5 hours/year - Hours/Month During Securities Trading Hours: 5 hours/year - Duties: Attend Committee meetings and review scholarship applications. Business: Kosciusko County Community Foundation, Inc. - Investment-related: Yes - Business Address: 102 E. Market St., Warsaw, IN 46580 - Nature of Business: Charitable - Position: Member, Board of Directors & Chair, Finance Committee - Start Date: 10/1/2020 - Hours/Month: 5 hours/year - Hours/Month During Securities Trading Hours: 0 - Duties: Attend board and committee meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Charles Yeager'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®
NoneExperience
Current
November 9, 2009 - Present
SYM FINANCIAL ADVISORS
Office #1: 801 Park Ave, Winona Lake, IN 46590RIA
CRD#: 107517
Winona Lake, IN
Past
January 2, 2004 - December 1, 2010
GRADIENT SECURITIES, LLC
BD
CRD#: 127701
WINONA LAKE, IN
Past
October 30, 2003 - November 6, 2009
SYM FINANCIAL ADVISORS
RIA
CRD#: 107517
WARSAW, IN
Past
July 31, 2003 - December 31, 2003
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
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".
SF
SYM FINANCIAL ADVISORS
SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.
CRD#: 107517 / SEC#: 801-23944
RIA
Registered Investment Advisory firm - (5/15/1985 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
Indiana(11/9/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SF
SYM FINANCIAL ADVISORS
SYM FINANCIAL ADVISORS | SYM FINANCIAL CORPORATION | SYM FINANCIAL CORP. DBA SYM FINANCIAL ADVISORS | SYM FINANCIAL CORP.
CRD#: 107517 / SEC#: 801-23944
RIA
Registered Investment Advisory firm - (5/15/1985 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
801 Park Ave, Winona Lake, IN 46590
Mailing Address
Phone number
(800) 888-7968
Established
Firm type
Fiscal year end
# of Employees
74
SEC notice filing (23 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,993 |
| AUM (Assets Under Management) | $ 4,879,622,399 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/20/2024 | ||
| 06/29/2023 | ||
| 12/19/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SYM FINANCIAL ADVISORS
CRD#: 107517Winona Lake, IN 46590TRUST BUT VERIFY
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