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Steven T. Swindler
HBKS WEALTH ADVISORS
STUART, FL 34996
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CRD#: 4840354
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Professional summary
Steven Theodore Swindler, CFP® is a registered financial advisor currently at HBKS WEALTH ADVISORS located in Stuart, Florida.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Steven has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 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)HILL BARTH & KING LLC; NOT INVESTMENT RELATED; 1000 SE MONTEREY COMMONS BLVD., SUITE 101, STUART, FL 34996; PUBLIC ACCOUNTING; CPA; 09/2004; 10 HRS/MO; 10 HRS/MO DURING TRADING; TAX ACCOUNTING (2) MARTIN COUNTY GATOR CLUB; NOT INVESTMENT RELATED. 1000 SE MONTEREY BLVD, SUITE 101, STUART, FL 34996. NON-PROFIT TO RAISE MONEY FOR SCHOLARSHIPS. TREASURER. 07/2017; 2 HRS/MO 0 HRS/MO DURING TRADING; TREASURER (3) MARTIN COUNTY HEALTHY START; NOT INVESTMENT RELATED. 101 SE CENTRAL PARKWAY STUART, FL 34994; NON-PROFIT; BOARD MEMBER; 06/2016. 1 HRS/MO 0 HRS/MO TRADING HOURS; BOARD MEMBER (4) MARTIN INTERAGENCY; NOT INVESTMENT RELATED; 1000 SE MONTEREY COMMONS BLVD., SUITE 101, STUART, FL 34996; EMERGENCY PLANNING GROUP; DIRECTOR; 01/2005; 1 HRS/MO 0 HRS/MO DURING TRADING; ENSURE ALL ANNUAL FILINGS ARE COMPLETE, SHOP E&O INSURANCE, AND MONITOR BILL PAY
CRS (Client Relationship Summary) - RIA
Click below to view Steven Theodore Swindler'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®
CFP®
Start date: 2016
Experience
Current
September 18, 2006 - Present
HBKS WEALTH ADVISORS
Office #1: 1000 Se Monterey Commons Blvd Suite 101, Stuart, FL 34996RIA
CRD#: 112139
STUART, FL
Past
January 2, 2009 - December 1, 2020
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
STUART, FL
Past
September 23, 2005 - January 7, 2009
SECURITIES AMERICA, INC.
BD
CRD#: 10205
STUART, FL
Past
August 10, 2005 - October 5, 2005
CAP PRO BROKERAGE SERVICES, INC.
BD
CRD#: 103953
COLUMBUS, OH
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".
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 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
Colorado(10/23/2023)
IAR
Florida(9/18/2006)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
HW
HBKS WEALTH ADVISORS
HBK ADVISORY SERVICES LLC | PRESQUE ISLE CAPITAL MANAGEMENT | LEVEL 3 | HBKS WEALTH ADVISORS | HBK SORCE FINANCIAL LLC | HBK SORCE ADVISORY LLC
CRD#: 112139 / SEC#: 801-60424
RIA
Registered Investment Advisory firm - (7/19/2001 Approved)Ohio
Registered Investment Advisory firm - (11/28/2000 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/29/2001 Terminated)Wyoming
Registered Investment Advisory firm - (11/9/2017 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2725 Colonial Ave, Erie, PA 16506
Mailing Address
Phone number
(814) 836-5776
Established
Firm type
Fiscal year end
# of Employees
109
SEC notice filing (30 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 21,190 |
| AUM (Assets Under Management) | $ 7,661,939,874 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/28/2023 |
Red Flags
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Company Information
HBKS WEALTH ADVISORS
CRD#: 112139Stuart, FL 34996TRUST BUT VERIFY
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