Steffen M. Nass

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CRD#: 4743406

Professional summary

Being a previously registered professional could mean that this person 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.

Steffen M Nass, ChFC® was a registered financial professional .

Steffen is a previously registered financial professional and started their career in finance in 2004. Steffen had worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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) Insurance Sales; Non-Investment Related; Ocala, FL; Insurance Sales; Agent; Start 3/2021; 120 hours/month, during securities trading hours. 2) Perigon Risk Management, LLC; Not-Investment Related; San Francisco, CA 94105; Insurance Sales; Managing Director; Start 3/2021; 120 hours/month, during securities trading hours; This LLC is the business name for insurance sales, but is not a licensed insurance agency. 3) WILD Rebelion; Non-Investment Related; Ocala, FL; Travel Agent Services; CEO; Start 5/2019

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

ChFC^®

Chartered Financial Consultant

Experience

Past

March 17, 2021 - September 19, 2022

PERIGON WEALTH MANAGEMENT, LLC

RIA

CRD#: 131037

SAN FRANCISCO, CA

Past

April 21, 2016 - April 1, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

SACRAMENTO, CA

Past

January 8, 2016 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

SACRAMENTO, CA

Past

January 24, 2012 - April 1, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

SACRAMENTO, CA

Past

December 7, 2011 - January 9, 2012

BG WORLDWIDE SECURITIES, INC.

CRD#: 121735

WESTLAKE VILLAGE, CA

Past

September 9, 2009 - November 3, 2011

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

February 4, 2009 - April 28, 2009

AXCELUS FINANCIAL DISTRIBUTION COMPANY

CRD#: 38383

ROSEVILLE, CA

Past

August 2, 2006 - February 4, 2009

VP DISTRIBUTORS LLC

CRD#: 3036

ROSEVILLE, CA

Past

February 9, 2006 - July 26, 2006

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

January 23, 2004 - April 1, 2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

MILWAUKEE, WI

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".

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037 / SEC#: 801-62988

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/29/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/7/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/22/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

CRD#: 131037 / SEC#: 801-62988

RIA

Registered Investment Advisory firm - (4/7/2004 Approved)

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Contact information

Main Address

201 Mission Street Suite 1825, San Francisco, CA 94105

Mailing Address

Phone number

(877) 977-2555

Established

Firm type

Fiscal year end

# of Employees

141

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PERIGON WRAP FEE PROGRAM BROCHURE (3/28/2025)

PERIGON DISCLOSURE BROCHURE AND PRIVACY POLICY (3/28/2025)

Regulatory assets under management

Total Number of Accounts	15,456
AUM (Assets Under Management)	$ 8,714,418,958

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/24/2024	Cover Page	Report
10/24/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Steffen M. Nass

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

BG WORLDWIDE SECURITIES, INC.

GUARDIAN INVESTOR SERVICES LLC

AXCELUS FINANCIAL DISTRIBUTION COMPANY

VP DISTRIBUTORS LLC

PRINCIPAL SECURITIES, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

PERIGON WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/29/2004

SIE

Date: 10/1/2018

Series 7

Date: 1/7/2016

Series 6

Date: 1/22/2004

Current Firm

PERIGON WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PERIGON WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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