Steven Gorfman

Some features on this profile are disabled

CRD#: 5529420

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.

Steven Gorfman, who also goes by Steven Andrew Gorfman, was a registered financial professional .

Steven is a previously registered financial professional and started their career in finance in 2008. Steven had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 55, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steven Andrew Gorfman

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.

The advisor shows no other business activity.

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®

None

Experience

Past

April 22, 2021 - March 4, 2022

AURORA PRIVATE WEALTH, INC.

RIA

CRD#: 281604

ROCKAWAY, NJ

Past

April 20, 2021 - March 4, 2022

APW CAPITAL, INC.

CRD#: 43814

ROCKAWAY, NJ

Past

March 23, 2021 - April 16, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

EAST BRUNSWICK, NJ

Past

February 19, 2021 - April 16, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

EAST BRUNSWICK, NJ

Past

April 26, 2013 - March 11, 2019

FTX CAPITAL MARKETS LLC

CRD#: 158816

Staten Island, NY

Past

August 29, 2011 - April 29, 2013

WESTFULLER ADVISORS, LLC

RIA

CRD#: 155054

NEW YORK, NY

Past

April 29, 2010 - April 26, 2013

CELADON FINANCIAL GROUP LLC

CRD#: 36538

CHATHAM, NJ

Past

April 2, 2009 - October 10, 2009

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

MOUNT LAUREL, NJ

Past

June 16, 2008 - October 10, 2009

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

MOUNT LAUREL, NJ

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".

AURORA PRIVATE WEALTH, INC.

CRD#: 281604 / SEC#: 801-110498

RIA

Registered Investment Advisory firm - (5/5/2017 Approved)

California

Registered Investment Advisory firm - (6/4/2017 Terminated)

Florida

Registered Investment Advisory firm - (5/5/2017 Terminated)

New Jersey

Registered Investment Advisory firm - (5/24/2017 Terminated)

Ohio

Registered Investment Advisory firm - (5/5/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/30/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/25/2013

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 5/18/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/14/2008

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/2010

General Securities Principal Examination

Current Firm

AURORA PRIVATE WEALTH, INC.

CRD#: 281604 / SEC#: 801-110498

RIA

Registered Investment Advisory firm - (5/5/2017 Approved)

California

Registered Investment Advisory firm - (6/4/2017 Terminated)

Florida

Registered Investment Advisory firm - (5/5/2017 Terminated)

New Jersey

Registered Investment Advisory firm - (5/24/2017 Terminated)

Ohio

Registered Investment Advisory firm - (5/5/2017 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

100 Enterprise Drive Suite 504, Rockaway, NJ 07866

Mailing Address

Phone number

(973) 394-0404

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AURORA PW ADV 2A (7/17/2025)

AURORA PW WRAP BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	1,843
AUM (Assets Under Management)	$ 395,308,639

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven Gorfman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APW CAPITAL, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

FTX CAPITAL MARKETS LLC

WESTFULLER ADVISORS, LLC

CELADON FINANCIAL GROUP LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

AURORA PRIVATE WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/30/2009

Series 63

Date: 12/30/2008

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 7/25/2013

Series 7

Date: 5/18/2009

Series 6

Date: 6/14/2008

Series 24

Date: 10/12/2010

Current Firm

AURORA PRIVATE WEALTH, INC.

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AURORA PRIVATE WEALTH, INC.

TRUST BUT VERIFY

Similar Advisors