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Stephan Glenn Peasley

CRD# 4450415·Registered 2002 - 2010
Previously Registered: Being a previously registered professional could mean that Stephan is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Stephan Glenn Peasley, who also goes by Steve Peasley, was a registered financial advisor. Stephan was a previously registered financial professional and started their career in finance 2002 - 2010. Stephan had worked at 2 firms and has passed the Series 65 exam.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Steve Peasley

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

25 years in the financial services industry

Current & Past Employments

GERALD KLEIN & ASSOCIATES·CRD# 112491
RIA
Dana Point, CA
January 10, 2005 - December 31, 2010
KLEIN PAVLIS & PEASLEY FINANCIAL, INC.·CRD# 112414
RIA
Dana Point, CA
July 15, 2002 - November 18, 2024

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2001About the Series 65 exam

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CRS (Client Relationship Summary)

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

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