Steve L. Williams

NEWPORT GROUP CONSULTING

Sanford, FL

Some features on this profile are disabled

CRD#: 4809042

Professional summary

Steve Lee Williams, CFA is a registered financial advisor currently at NEWPORT GROUP CONSULTING, LLC located in Sanford, Florida and ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida.

Steve is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Steve has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 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. E-Bay Personal Account/Sales. www.ebay.com. Compensation based on personal items available for sale. Do not intend to sell items on behalf of others. Take pictures of items; post items on ebay; package and ship items. Expect Gross Sales of $0 - $5000 per year. This is not investment related. 3-5 hours a month outside of securities trading hours. Address: 105 Overoaks Pl, Sanford Fl 32771 (Home Address). Started on March 9, 2022.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve Lee Williams'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®

CFA

Chartered Financial Analyst

Experience

Current

January 11, 2018 - Present

NEWPORT GROUP CONSULTING, LLC

RIA

CRD#: 140944

Sanford, FL

Current

August 31, 2023 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746

CRD#: 36478

Lake Mary, FL

Past

October 1, 2004 - December 22, 2017

NEWPORT GROUP SECURITIES, INC.

RIA

CRD#: 29722

Lake Mary, FL

Past

July 5, 2004 - August 31, 2023

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

Lake Mary, 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".

NEWPORT GROUP CONSULTING, LLC

INTERSERV, LLC | NEWPORT GROUP CONSULTING, LLC | NEWPORT GROUP

CRD#: 140944 / SEC#: 801-66908

RIA

Registered Investment Advisory firm - (6/20/2006 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Florida
(1/11/2018)

Massachusetts
(1/2/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/30/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/2/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/18/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NEWPORT GROUP CONSULTING, LLC

INTERSERV, LLC | NEWPORT GROUP CONSULTING, LLC | NEWPORT GROUP

CRD#: 140944 / SEC#: 801-66908

RIA

Registered Investment Advisory firm - (6/20/2006 Approved)

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

300 Primera Blvd. Suite 200, Lake Mary, FL 32746

Mailing Address

Phone number

(407) 333-2905

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (50 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

NGC ADV PART 2A-2B COMBINED AMEND 05-13-2024 V2 (11/11/2025)

MANAGED ACCOUNT SERVICE ADV PART 2A AND 2B 08-22-2024 FINAL (3/24/2025)

Regulatory assets under management

Total Number of Accounts	3,858
AUM (Assets Under Management)	$ 4,397,492,520

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steve L. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steve Lee Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

NEWPORT GROUP SECURITIES, INC.

NEWPORT GROUP SECURITIES, INC.

Primary Firm SEC Registration

NEWPORT GROUP CONSULTING, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2004

SIE

Date: 10/1/2018

Series 7

Date: 7/2/2004

Series 24

Date: 1/18/2017

FINRA

Current Firm

NEWPORT GROUP CONSULTING, LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NEWPORT GROUP CONSULTING, LLC

TRUST BUT VERIFY

Similar Advisors