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Stephen Laurence Shloss

Stephen L. Shloss

MISSION VIEJO, CA 92692
Some features on this profile are disabled
CRD#: 5429813
Stephen Laurence Shloss
Stephen Laurence Shloss

Professional summary

Stephen Laurence Shloss, CFP® was a registered financial advisor .

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Stephen had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

Always Fiduciary

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) START DATE 02/2011, INSURANCE AGENT. MY DUTIES INCLUDE SALES OF INSURANCE PRODUCTS, investment related, 5% time spent on activity during securities hrs.. (2) START DATE 07/1997, REAL ESTATE AGENT. MY DUTIES INCLUDE REAL ESTATE LISTINGS, AND SALES OF RESIDENTIAL & COMMERCIAL PROPERTY, investment related, 5% time spent on activity during non-securities hrs. (3) On Mission Tax Pros, since 4/1/2024, Tax Preparation, Non-investment related, 5% time spent on activity during non-securities hrs. (4) Non Profit Org Treasure, since 10/1/2024, 24821 Chrisanta Drive, Misson Viejo, CA 92691. Charity, Non-investment related, 1-10% time spent on activity during non-securities hrs.

Blog Corner

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®
CFP®

Certified Financial Planner

Start date: 2012

Experience

Current

July 17, 2026 - Present

Office #1: 25950 Acero Suite 100, Mission Viejo, CA 92692
MISSION VIEJO, CA
Past

November 8, 2023 - July 17, 2026

MONEY CONCEPTS CAPITAL CORP

RIA
CRD#: 12963
Mission Viejo, CA
Past

November 8, 2023 - July 17, 2026

MONEY CONCEPTS CAPITAL CORP

BD
CRD#: 12963
Mission Viejo, CA
Past

June 8, 2017 - November 16, 2023

CROWN CAPITAL SECURITIES, L.P.

RIA
CRD#: 6312
MISSION VIEJO, CA
Past

June 8, 2017 - November 16, 2023

CROWN CAPITAL SECURITIES, L.P.

BD
CRD#: 6312
MISSION VIEJO, CA
Past

February 2, 2011 - June 8, 2017

NEXT FINANCIAL GROUP, INC.

RIA
CRD#: 46214
IRVINE, CA
Past

February 1, 2011 - June 8, 2017

NEXT FINANCIAL GROUP, INC.

BD
CRD#: 46214
IRVINE, CA
Past

November 29, 2007 - February 7, 2011

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
IRVINE, CA
Past

November 26, 2007 - February 7, 2011

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
IRVINE, CA

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
California
(7/17/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/9/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/2/2007
General Securities Representative Examination

Current firm

No current employment

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.

Company Information

No current employment

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