SS
Stephen C. Schramm
HBKS WEALTH ADVISORS
STUART, FL 34996
Some features on this profile are disabled
CRD#: 4528357
SS
Professional summary
Stephen Carl Schramm, CFP® is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Stuart, Florida.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Stephen has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 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) HBK ERIE REALTY CO., LLC; NOT INVESTMENT RELATED; REALTY/RENTAL PROPERTY; OWNER; 01/2004; 0 HRS/MO; 0 HRS/MO DURING TRADING; 6603 SUMMIT DRIVE CANFIELD, OH 44406; OWNER (2) HBK FORT MYERS REALTY LLC; NOT INVESTMENT RELATED; REALTY/RENTAL PROPERTY; OWNER; 01/2004; 0 HRS/MO; 0 HRS/MO DURING TRADING; 6603 SUMMIT DRIVE CANFIELD, OH 44406; OWNER (3) HBK HERMITAGE REALTY LLC; NOT INVESTMENT RELATED; REALTY/RENTAL PROPERTY; OWNER; 01/2004; 0 HRS/MO; 0 HRS/MO DURING TRADING; 6603 SUMMIT DRIVE CANFIELD, OH 44406; OWNER (4) HBK MEADVILLE REALTY CO., LLC; NOT INVESTMENT RELATED; REALTY/RENTAL PROPERTY; OWNER; 01/2004; 0 HRS/MO; 0 HRS/MO DURING TRADING; 6603 SUMMIT DRIVE CANFIELD, OH 44406; OWNER (5) HBK NAPLES REALTY LLC; NOT INVESTMENT RELATED; REALTY/RENTAL PROPERTY; OWNER; 01/2004; 10 HRS/MO; 0 HRS/MO; 0 HRS/MO DURING TRADING; 6603 SUMMIT DRIVE CANFIELD, OH 44406; OWNER (6) HBK FINANCIAL HOLDINGS, LLC; INVESTMENT RELATED; 6603 SUMMIT DRIVE CANFIELD, OH 44406; HOLDING COMPANY; OWNER/MEMBER; 01/2015; 0 HRS/MO 0 HRS/MO DURING TRADING; PASSIVE ONLY. NO ACTIVE MANAGEMENT RESPONSIBILITIES (7) HBK SORCE HOLDINGS, LLC; INVESTMENT RELATED; 7620 MARKET ST. STE. 202, BOARDMAN, OH 44512; DIRECT OWNER; 04/2001; 0 HRS/MO 0 HRS/MO DURING TRADING; PASSIVE ONLY. NO ACTIVE MANAGEMENT RESPONSIBILITIES (8) HOUSE OF HOPE; NOT INVESTMENT RELATED; 2484 SE BONITA ST., STUART, FL 34997; CHARITABLE ORGANIZATION; BOARD OF DIRECTORS; 01/2013; 5 HRS/MO 0 HRS/MO DURING TRADING; MEMBER/BOARD OF DIRECTORS (9) STUART NATIVE LLC; NOT INVESTMENT RELATED; 570 SW MANOR DRIVE STUART, FL 34994; CO-OWNER; 03/2016; 0 HRS/MO 0 HRS/MO DURING TRADING; CO-OWNER; FORMED TO OWN BOAT
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Carl Schramm'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®
CFP®
Start date: 2000
Experience
Current
October 28, 2003 - Present
HBKS WEALTH ADVISORS
Office #1: 1000 Se Monterey Commons Blvd., Stuart, FL 34996RIA
CRD#: 112139
STUART, FL
Past
January 2, 2009 - December 1, 2020
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
STUART, FL
Past
October 17, 2005 - January 7, 2009
SECURITIES AMERICA, INC.
BD
CRD#: 10205
STUART, FL
Past
January 18, 2000 - December 31, 2005
THE SCHRAMM INVESTMENT COMPANY, L.L.C.
RIA
CRD#: 116353
STUART, FL
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".
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 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
Colorado(10/24/2013)
IAR
Florida(11/12/2003)
IAR
New Jersey(11/14/2017)
IAR
North Carolina(2/21/2018)
IAR
Texas(7/2/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 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
2725 Colonial Ave, Erie, PA 16506
Mailing Address
Phone number
(814) 836-5776
Established
Firm type
Fiscal year end
# of Employees
109
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,190 |
| AUM (Assets Under Management) | $ 7,661,939,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/28/2023 |
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
HBKS WEALTH ADVISORS
CRD#: 112139Stuart, FL 34996TRUST BUT VERIFY
Monitor Stephen Schramm
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
