Steven T. Schlegel

PLANO, TX 75024

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CRD#: 4356206

Professional summary

Steven Todd Schlegel, CFP® was a registered financial advisor .

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Steven had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 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) Licensed insurance agent; Investment-related; Same address; Insurance sales; Implementation of insurance recommendations; Approx. 5% of time during the month.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Start date: 2008

Experience

Current

October 2, 2025 - Present

Office #1: 7160 Dallas Parkway Suite 230, Plano, TX 75024

PLANO, TX

Past

May 31, 2005 - October 7, 2025

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

Plano, TX

Past

May 18, 2005 - June 29, 2018

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

PLANO, TX

Past

March 13, 2003 - May 18, 2005

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 28, 2001 - January 27, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

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
(10/2/2025)

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: 5/27/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/20/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/29/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/27/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/2010

General Securities Principal Examination

Current firm

No current employment

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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Steven T. Schlegel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

LPL FINANCIAL LLC

WALNUT STREET SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/27/2005

Series 63

Date: 4/20/2001

SIE

Date: 6/29/2018

Series 7

Date: 3/27/2001

Series 24

Date: 3/12/2010

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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