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SS

Steven Sanders

WNY ASSET MANAGEMENT
Williamsville, NY 14221
Some features on this profile are disabled
CRD#: 4591976
SS

Professional summary

Steven Sanders, who also goes by Steven David Sanders, is a registered financial advisor currently at WNY ASSET MANAGEMENT, LLC located in Williamsville, New York.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Steven has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Steven David Sanders

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 Sanders'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®
None

Experience

Current

November 16, 2021 - Present

WNY ASSET MANAGEMENT, LLC

Office #1: 6500 Sheridan Drive, Suite 200, Williamsville, NY 14221
RIA
CRD#: 153872
Williamsville, NY
Past

January 15, 2003 - November 30, 2018

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
WILLIAMSVILLE, NY

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".
WA
WNY ASSET MANAGEMENT, LLC
SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA
Registered Investment Advisory firm - (7/9/2010 Approved)

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
New York
(11/16/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/15/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/14/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 1/14/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WA
WNY ASSET MANAGEMENT, LLC
SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC

CRD#: 153872 / SEC#: 801-71632

RIA
Registered Investment Advisory firm - (7/9/2010 Approved)
PREMIUM
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Contact information

Main Address
6500 Sheridan Drive, Suite 200, Williamsville, NY 14221
Mailing Address
Phone number
(716) 626-0060
Established
Firm type
Fiscal year end
# of Employees
35

SEC notice filing (22 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

ADV PART 2A (3/19/2026)

Regulatory assets under management

Total Number of Accounts3,256
AUM (Assets Under Management)$ 1,729,468,767

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

WNY ASSET MANAGEMENT, LLC

CRD#: 153872Williamsville, NY 14221

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