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SR

Stephen K. Reeves

HEADINVEST
Portland, ME 04101-4194
Some features on this profile are disabled
CRD#: 4711206
SR

Professional summary

Stephen Kenneth Reeves, who also goes by Stephen K Reeves, Stephen Kenneth Reeves, Steve Kenneth Reeves, Steve Reeves, is a registered financial advisor currently at HEADINVEST located in Portland, Maine.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Stephen has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Stephen K Reeves | Stephen Kenneth Reeves | Steve Kenneth Reeves | Steve Reeves

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 Stephen Kenneth Reeves'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

September 25, 2025 - Present

HEADINVEST

Office #1: 7 Custom House St 4th Floor, Portland, ME 04101-4194
RIA
CRD#: 140518
Portland, ME
Past

August 16, 2019 - December 31, 2020

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
PORTLAND, ME
Past

August 16, 2019 - December 31, 2020

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
Portland, ME
Past

April 10, 2018 - February 23, 2022

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

June 6, 2016 - April 6, 2017

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
BRENTWOOD, TN
Past

June 6, 2016 - April 6, 2017

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
BRENTWOOD, TN
Past

January 29, 2016 - April 5, 2016

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
BRENTWOOD, TN
Past

January 26, 2016 - April 5, 2016

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
BRENTWOOD, TN
Past

November 13, 2014 - November 9, 2015

TRUIST INVESTMENT SERVICES, INC.

RIA
CRD#: 17499
NASHVILLE, TN
Past

November 13, 2014 - November 9, 2015

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
NASHVILLE, TN
Past

November 27, 2012 - October 28, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NASHVILLE, TN
Past

November 27, 2012 - October 28, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NASHVILLE, TN
Past

August 10, 2011 - September 5, 2012

MORGAN STANLEY

RIA
CRD#: 149777
PORTLAND, ME
Past

April 4, 2011 - September 5, 2012

MORGAN STANLEY

BD
CRD#: 149777
PORTLAND, ME
Past

October 17, 2003 - January 29, 2004

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

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".
HE
HEADINVEST
ANDROSCOGGIN SAVINGS BANK | HEADINVEST, LLC | HEADINVEST | HEAD AND ASSOCIATES, LLC | HEAD AND ASSOCIATES

CRD#: 140518 / SEC#: 801-66773

RIA
Registered Investment Advisory firm - (6/8/2006 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
Maine
(9/25/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/24/2025
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/17/2011
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 7
Date: 4/1/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/16/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

HE
HEADINVEST
ANDROSCOGGIN SAVINGS BANK | HEADINVEST, LLC | HEADINVEST | HEAD AND ASSOCIATES, LLC | HEAD AND ASSOCIATES

CRD#: 140518 / SEC#: 801-66773

RIA
Registered Investment Advisory firm - (6/8/2006 Approved)
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Contact information

Main Address
7 Custom House St 4th Floor, Portland, ME 04101-4194
Mailing Address
Phone number
(207) 773-5333
Established
Firm type
Fiscal year end
# of Employees
15

SEC notice filing (11 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

HEADINVEST LLC BROCHURE (3/10/2025)

Regulatory assets under management

Total Number of Accounts1,232
AUM (Assets Under Management)$ 969,679,151

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

HEADINVEST

CRD#: 140518Portland, ME 04101-4194

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