Brett A. Stehl
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.
Brett Alan Stehl, who also goes by Brett A Stehl, Brett Stehl, was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 2007. Brett had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2023 - October 15, 2024
GOELZER INVESTMENT MANAGEMENT
March 26, 2018 - May 9, 2022
CREATIVE PLANNING
February 27, 2013 - March 16, 2018
BENJAMIN F. EDWARDS & COMPANY, INC.
February 5, 2013 - March 16, 2018
BENJAMIN F. EDWARDS & COMPANY, INC.
December 17, 2007 - January 7, 2008
MORGAN STANLEY & CO. LLC
December 14, 2007 - January 7, 2008
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
GOELZER INVESTMENT MANAGEMENT
CRD#: 44402 / SEC#: 801-55588, 8-50682
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GOELZER INVESTMENT MANAGEMENT
CRD#: 44402 / SEC#: 801-55588, 8-50682
Contact information
SEC notice filing (21 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FREIHOFER, LISA GOELZER | OWNER | |
| GOELZER, GREGORY WILLIAM | VICE CHAIRMAN AND CEO | 1040238 |
| GOELZER, SANDRA KAY | OWNER | |
| JOAN B GOELZER CREDIT SHELTER TR U/A DTD 1-17-1991 | OWNER | |
| MCKAMEY, BRETT DEAN | PRESIDENT AND COO | 1706545 |
| CONCANNON, JAMES ANDREW | OWNER | 1722214 |
| GOELZER EMPLOYEE STOCK OWNERSHIP PLAN | OWNER | |
| SMITH, NEAL ANDREW | OWNER | 2168145 |
| BUSH, JEFFREY ADAM | CHIEF COMPLIANCE OFFICER | 6157908 |
| RYNERSON, DEBRA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1741218 |
Regulatory assets under management
| Total Number of Accounts | 877 |
| AUM (Assets Under Management) | $ 3,846,550,007 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
