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SD

Steven J. Deppe

NERAD + DEPPE WEALTH MANAGEMENT
La Jolla, CA 92037
Some features on this profile are disabled
CRD#: 4658856
SD

Professional summary

Steven James Deppe is a registered financial advisor currently at NERAD + DEPPE WEALTH MANAGEMENT located in La Jolla, California.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Steven has worked at 4 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

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) ProVisors - Professional Network Group, INc.; non-investment related industry publication servicing investment advisers. Activity is conducted from office location. Mr. Deppe serves as a writer on a freelance basis. Started October 2019. Mr. Deppe anticipates dedicating less than 5 hours per month on this activity, and generally conducts the activity outside securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Deppe'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

April 20, 2020 - Present

NERAD + DEPPE WEALTH MANAGEMENT

Office #1: 4250 Executive Square Suite 545, La Jolla, CA 92037
RIA
CRD#: 151284
La Jolla, CA
Past

August 30, 2019 - May 29, 2020

ALPHACORE CAPITAL LLC

RIA
CRD#: 174346
San Diego, CA
Past

November 9, 2009 - December 6, 2019

NERAD + DEPPE WEALTH MANAGEMENT

RIA
CRD#: 151284
SAN DIEGO, CA
Past

September 8, 2005 - October 28, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
SAN DIEGO, CA
Past

July 24, 2003 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 24, 2003 - October 28, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SAN DIEGO, CA

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".
N+
NERAD + DEPPE WEALTH MANAGEMENT
NDWM LLC | NERAD AND DEPPE WEALTH MANAGEMENT | NERAD + DEPPE WEALTH MANAGEMENT | NERAD & DEPPE WEALTH MANAGEMENT LLC

CRD#: 151284 / SEC#: 801-123689

RIA
Registered Investment Advisory firm - (4/15/2022 Approved)
California
Registered Investment Advisory firm - (5/18/2022 Terminated)
Texas
Registered Investment Advisory firm - (4/18/2022 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
(4/20/2020)
IAR
Texas
(4/20/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/7/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/23/2003
General Securities Representative Examination

Current Firm

N+
NERAD + DEPPE WEALTH MANAGEMENT
NDWM LLC | NERAD AND DEPPE WEALTH MANAGEMENT | NERAD + DEPPE WEALTH MANAGEMENT | NERAD & DEPPE WEALTH MANAGEMENT LLC

CRD#: 151284 / SEC#: 801-123689

RIA
Registered Investment Advisory firm - (4/15/2022 Approved)
California
Registered Investment Advisory firm - (5/18/2022 Terminated)
Texas
Registered Investment Advisory firm - (4/18/2022 Terminated)
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Contact information

Main Address
4250 Executive Square Suite 545, La Jolla, CA 92037
Mailing Address
Phone number
(858) 457-1325
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (5 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

FORM ADV 2A - FIRM BROCHURE - NDWM LLC (2/3/2025)

Regulatory assets under management

Total Number of Accounts645
AUM (Assets Under Management)$ 162,418,341

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

NERAD + DEPPE WEALTH MANAGEMENT

CRD#: 151284La Jolla, CA 92037

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