SW
Stephen S. Werner
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CRD#: 5156926
SW
Stephen Samuel Werner Sr.
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.
Stephen Samuel Werner Sr., who also goes by Stephen S Werner Sr., Stephen S Werner, Stephen Samuel Werner, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2006. Stephen had worked at 4 firms and has passed the Series 66, Series 7TO, SIE, Series 7, Series 53 and Series 24 exams.
Aliases
Stephen S Werner Sr. | Stephen S Werner | Stephen Samuel Werner
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.
ONE CHOSUN FUND POSITION: President NATURE: This business is an IRS approved Non-profit Charitable entity which raises money for homeless or needy Korean people in Korea.This business does not solicit donations; all donations are from the restaurant income of Sweet Arrow Enterprises DBA Korealicious; This business pays donations to homeless people and needy people on an ad hoc basis in South Korea when Michelle (wife) travels to that country. She disburses cash to individuals in need in South Korea. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/20/2018 ADDRESS: 35 East 2nd St., Ste 103, Hummelstown PA 17036, United States DESCRIPTION: I perform administrative duties for this entity; I keep track of donations and file the annual information return; I also filed the original non-profit application with the IRS. I make sure the bank account is accurate. I make donations from this non-profit to non-profit entities in or related to Korea to assist the homeless or needy in that country. WERNER FINANCIAL GROUP LLC POSITION: Owner NATURE: This business is the marketing vehicle for fixed insurance products of Stephen Werner; This business solicits fixed insurance products (life insurance, fixed annuities, Medicare, health insurance); This business markets these products via a website and via contact with individuals and businesses; the end goal of this business is to be marketing face for the fixed insurance business of Stephen Werner. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 12/14/2017 ADDRESS: 35 East 2nd St., Ste 103, Hummelstown PA 17036, United States DESCRIPTION: Solicits fixed insurance products.Sells fixed insurance products.Educates individuals on fixed insurance products.Receives client information necessary for application.Completes applications with client provided information.Submits applications for review by brokerage entity. CRUMP LIFE INSURANCE SERVICES, LLC POSITION: Independent Insurance Sales Agent NATURE: Crump Life Insurance is an insurance broker. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2018 ADDRESS: 4135 North Front Street, Harrisburg PA 17110, United States DESCRIPTION: I submit life business through Crump for approval and placement. I have not ownership in and do not hold any other position in Crump. I access Crump electronic platform, input application information, and submit the application to Crump for review. URL INSURANCE GROUP POSITION: Independent Insurance Sales Agent NATURE: URL is an insurance broker through whom I write fixed insurance products.URL provides marketing materials, training, and business processing for independent agents who solicit and sell fixed insurance products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2018 ADDRESS: 500 Nationwide Drive, Harrisburg PA 17110, United States DESCRIPTION: I participate in training provided by URL staff and carriers. I submit fixed insurance applications. FINRA ARBITRATION AND MEDIATION POSITION: FINRA Dispute Resolution Arbitrator NATURE: FINRA Arbitration receives, processes, and adjudicates cases submitted for arbitration. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/28/2016 ADDRESS: 35 East 2nd St., Ste 103, Hummelstown PA 17036, United States DESCRIPTION: I participate as a panel member assigned to adjudicate arbitration cases for FINRA.As a panel member.
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®
NoneExperience
Past
June 26, 2023 - April 7, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Hummelstown, PA
Past
May 5, 2023 - April 7, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Hummelstown, PA
Past
June 6, 2016 - January 12, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
HARRISBURG, PA
Past
March 10, 2011 - May 2, 2016
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
HARRISBURG, PA
Past
June 28, 2006 - May 2, 2016
NYLIFE SECURITIES LLC
BD
CRD#: 5167
HARRISBURG, PA
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.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 5/5/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
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Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 |
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.
