WS
William H. Stevens
STEVENS FOSTER FINANCIAL ADVISORS
BLOOMINGTON, MN 55431
Some features on this profile are disabled
CRD#: 436000
WS
Professional summary
William Howard Stevens is a registered financial advisor currently at STEVENS FOSTER FINANCIAL ADVISORS located in Bloomington, Minnesota.
William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. William has worked at 8 firms and has passed the Series 63, Series 31, Series 1 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.
MINNESOTA LIFE, HEALTH AND LONG TERM CARE LICENSED
BOOKS OF CHOICE; BUY AND SELL OLD BOOKS AS A HOBBY
BOARD MEMBER OF PENUMBRA THEATRE, THIS IS AN UNPAID POSITION
CRS (Client Relationship Summary) - RIA
Click below to view William Howard Stevens'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
October 3, 2000 - Present
STEVENS FOSTER FINANCIAL ADVISORS
Office #1: 7901 Xerxes Avenue South #325, Bloomington, MN 55431RIA
CRD#: 115752
BLOOMINGTON, MN
Past
December 20, 2013 - July 7, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
BLOOMINGTON, MN
Past
September 12, 2006 - December 31, 2010
LPL FINANCIAL LLC
RIA
CRD#: 6413
BLOOMINGTON, MN
Past
August 2, 1994 - July 7, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
BLOOMINGTON, MN
Past
May 19, 1992 - August 3, 1994
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
Past
June 2, 1988 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
BD
CRD#: 5774
Past
May 22, 1986 - June 28, 1988
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
Past
February 17, 1982 - January 24, 1986
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
October 1, 1973 - April 26, 1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
Past
October 1, 1973 - July 1, 1982
MONY SECURITIES CORPORATION
BD
CRD#: 4386
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
STEVENS FOSTER FINANCIAL ADVISORS
STEVENS FOSTER FINANCIAL ADVISORS | STEVENS, FOSTER FINANCIAL SERVICES, INC.
CRD#: 115752 / SEC#: 801-80128
RIA
Registered Investment Advisory firm - (8/7/2014 Approved)Arizona
Registered Investment Advisory firm - (12/31/2005 Terminated)California
Registered Investment Advisory firm - (9/12/2014 Terminated)Florida
Registered Investment Advisory firm - (8/13/2014 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2001 Terminated)Minnesota
Registered Investment Advisory firm - (9/17/2014 Terminated)Texas
Registered Investment Advisory firm - (8/13/2014 Terminated)Wisconsin
Registered Investment Advisory firm - (8/13/2014 Terminated)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
California(10/3/2000)
IAR
Florida(2/26/2002)
IAR
Minnesota(7/21/2014)
IAR
Texas(10/11/2001)
IAR
Wisconsin(7/21/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 9/20/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
SF
STEVENS FOSTER FINANCIAL ADVISORS
STEVENS FOSTER FINANCIAL ADVISORS | STEVENS, FOSTER FINANCIAL SERVICES, INC.
CRD#: 115752 / SEC#: 801-80128
RIA
Registered Investment Advisory firm - (8/7/2014 Approved)Arizona
Registered Investment Advisory firm - (12/31/2005 Terminated)California
Registered Investment Advisory firm - (9/12/2014 Terminated)Florida
Registered Investment Advisory firm - (8/13/2014 Terminated)Illinois
Registered Investment Advisory firm - (12/31/2001 Terminated)Minnesota
Registered Investment Advisory firm - (9/17/2014 Terminated)Texas
Registered Investment Advisory firm - (8/13/2014 Terminated)Wisconsin
Registered Investment Advisory firm - (8/13/2014 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
7900 Xerxes Avenue South Suite 1800, Bloomington, MN 55431
Mailing Address
Phone number
(952) 843-4200
Established
Firm type
Fiscal year end
# of Employees
20
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,019 |
| AUM (Assets Under Management) | $ 660,761,100 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/18/2024 | ||
| 10/27/2023 | ||
| 01/23/2023 |
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
STEVENS FOSTER FINANCIAL ADVISORS
CRD#: 115752Bloomington, MN 55431TRUST BUT VERIFY
Monitor William Stevens
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
