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Steven T. Schlegel

SCHLEGEL DUNN LLC
PLANO, TX 75024
Some features on this profile are disabled
CRD#: 4356206
SS

Professional summary

Steven Todd Schlegel, CFP® is a registered financial advisor currently at SCHLEGEL DUNN LLC located in Plano, Texas.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Steven has 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Todd Schlegel'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®
CFP®

Certified Financial Planner

Start date: 2008

Experience

Current

October 2, 2025 - Present

SCHLEGEL DUNN LLC

Office #1: 7160 Dallas Parkway Suite 230, Plano, TX 75024
RIA
CRD#: 337990
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

BD
CRD#: 8032
PLANO, TX
Past

March 13, 2003 - May 18, 2005

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

March 28, 2001 - January 27, 2003

WALNUT STREET SECURITIES, INC.

BD
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)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/27/2005
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/20/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/29/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/27/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/12/2010
General Securities Principal Examination

Current Firm

SD
SCHLEGEL DUNN LLC
SCHLEGEL DUNN LLC | SCHLEGELDUNN, LLC

CRD#: 337990 / SEC#: 801-134319

RIA
Registered Investment Advisory firm - (9/30/2025 120-Day Approval)
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Contact information

Main Address
7160 Dallas Parkway Suite 230, Plano, TX 75024
Mailing Address
Phone number
(972) 327-3607
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (2 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

SCHLEGELDUNN LLC DISCLOSURE BROCHURE AND BROCHURE SUPPLEMENTS (9/30/2025)
0

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

SCHLEGEL DUNN LLC

CRD#: 337990Plano, TX 75024

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