SH
Stephen T. Haeckel
TRIVIUM POINT ADVISORY
WHITE PLAINS, NY 10604
Some features on this profile are disabled
CRD#: 4813429
SH
Professional summary
Stephen Thomas Haeckel, who also goes by Stephen Haeckel, is a registered financial advisor currently at TRIVIUM POINT ADVISORY, LLC located in White Plains, New York and LPL FINANCIAL LLC located in Wilton, Connecticut.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Stephen has worked at 8 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 Haeckel
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. 9/21/2020 - Trivium Point Advisory - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/10/2020 - 40 Hours Per Month/2 Hours During Securities Trading 2. 9/21/2020 - Trivium Point Advisory - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/10/2020 - 120 Hours Per Month/4 Hours During Securities Trading 3. 9/21/2020 - Trivium Point Consulting - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/10/2020 - 40 Hours Per Month/2 Hour During Securities Trading 4. 11/16/2020 - Quarry Hill Consultants LLC - Investment Related - Home Based - Insurance Agency - Started 09/23/2020 - 80 Hours Per Month/3 Hours During Securities Trading - Selling Life, Fixed Annuities, Disability and Long Term Care. 5. 03/12/2024 - Trivium Point Advisory LLC - Inv related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started: 12/15/2024 - 173 Hrs/Mo During Trading - I provide investment advisory services through Trivium Point Advisory LLC, an independent investment advisor firm. I started this business activity in 12/2023. I expect to spend approximately 173 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 06/05/2024 - Trivium Point Insurance Group - Non-Variable Insurance - Agent/ Producer - Investment Related - At Reported Business Location(s) - Start Date 12/15/2023 - 5 Hours Per Month/ 1 Hour During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Thomas Haeckel'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®
NoneExperience
Current
December 15, 2023 - Present
TRIVIUM POINT ADVISORY, LLC
Office #1: 711 Westchester Ave. Suite 305, White Plains, NY 10604RIA
CRD#: 292182
WHITE PLAINS, NY
Current
September 21, 2020 - Present
LPL FINANCIAL LLC
Office #1: 40 Danbury Rd #301, Wilton, CT 06897RIA
BD
CRD#: 6413
WILTON, CT
Past
August 3, 2021 - April 22, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
WHITE PLAINS, NY
Past
May 2, 2016 - July 16, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ST PETERSBURG, FL
Past
April 22, 2014 - February 9, 2016
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
HARTFORD, CT
Past
April 23, 2010 - May 9, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 24, 2005 - April 1, 2010
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SHELTON, CT
Past
October 17, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
SHELTON, CT
Past
October 17, 2005 - April 1, 2010
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SHELTON, CT
Past
February 18, 2005 - October 11, 2005
WADDELL & REED
RIA
CRD#: 866
NORTH HAVEN, CT
Past
September 27, 2004 - October 11, 2005
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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".
TP
TRIVIUM POINT ADVISORY, LLC
MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC
CRD#: 292182 / SEC#: 801-112426
RIA
Registered Investment Advisory firm - (2/9/2018 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.RR
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
RR
California(7/26/2022)
RR
Connecticut(9/21/2020)
RR
Florida(10/16/2020)
RR
New Jersey(12/22/2021)
RR
New Mexico(11/14/2023)
RR
New York(9/21/2020)
IAR
New York(12/15/2023)
RR
Oregon(10/7/2021)
RR
Pennsylvania(3/11/2021)
RR
Rhode Island(3/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TP
TRIVIUM POINT ADVISORY, LLC
MONEY MINDSET WEALTH MANAGEMENT | TRIVIUM POINT ADVISORY, LLC | PARADIGM WEALTH ADVISORS, LLC | PARADIGM FINANCIAL PARTNERS, LLC
CRD#: 292182 / SEC#: 801-112426
RIA
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Contact information
Main Address
40 Danbury Road Suite 310, Wilton, CT 06897
Mailing Address
Phone number
(203) 221-3085
Established
Firm type
Fiscal year end
# of Employees
35
SEC notice filing (16 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,177 |
| AUM (Assets Under Management) | $ 1,487,605,211 |
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.
