Steven A. Adams

STONEPATH WEALTH MANAGEMENT

TRAVERSE CITY, MI 49684

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CRD#: 5992425

Professional summary

Steven A Adams is a registered financial advisor currently at STONEPATH WEALTH MANAGEMENT located in Traverse City, Michigan.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Steven has worked at 5 firms and has passed the Series 66, 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.

Name of other business; Stonepath insurance Agency LLC, Investment related; No, Address of other business; 134 W State St , Ste 200, Traverse City, MI. 49684, Nature of other business; Investment and insurance products, Position; Insurance agent, Start date; 11/01/2023, Hours per month: 10 hr/month, Hours during securities trading hours; 0, Duties relating to other business; Meet with prospects and clients to see if they have any insurance needs like Annuity products and or life insurance.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven A Adams's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 2, 2024 - Present

STONEPATH WEALTH MANAGEMENT

Office #1: 134 W State Street Suite 200, Traverse City, MI 49684

RIA

CRD#: 328977

TRAVERSE CITY, MI

Past

February 3, 2015 - December 31, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Aplena, MI

Past

February 2, 2015 - December 31, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

TRAVERSE CITY, MI

Past

April 29, 2013 - September 30, 2014

EDWARD JONES

RIA

CRD#: 250

SUTTONS BAY, MI

Past

April 26, 2013 - September 30, 2014

EDWARD JONES

CRD#: 250

SUTTONS BAY, MI

Past

January 24, 2012 - March 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TRAVERSE CITY, MI

Past

November 22, 2011 - March 8, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TRAVERSE CITY, MI

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".

STONEPATH WEALTH MANAGEMENT

SPWM ADVISORS LLC | STONEPATH WEALTH MANAGEMENT LLC | STONEPATH WEALTH MANAGEMENT

CRD#: 328977 / SEC#: 801-129202

RIA

Registered Investment Advisory firm - (1/2/2024 Approved)

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

Michigan
(1/2/2024)

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 66

Date: 1/20/2012

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/21/2011

General Securities Representative Examination

Current Firm

STONEPATH WEALTH MANAGEMENT

SPWM ADVISORS LLC | STONEPATH WEALTH MANAGEMENT LLC | STONEPATH WEALTH MANAGEMENT

CRD#: 328977 / SEC#: 801-129202

RIA

Registered Investment Advisory firm - (1/2/2024 Approved)

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Contact information

Main Address

134 W State Street Suite 200, Traverse City, MI 49684

Mailing Address

Phone number

(231) 668-6999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STONEPATH WEALTH MANAGEMENT DISCLOSURE BROCHURE (4/16/2025)

Regulatory assets under management

Total Number of Accounts	1,100
AUM (Assets Under Management)	$ 225,790,792

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.

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Steven A. Adams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven A Adams's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

EDWARD JONES

EDWARD JONES

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

STONEPATH WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 1/20/2012

SIE

Date: 10/1/2018

Series 7

Date: 11/21/2011

Current Firm

STONEPATH WEALTH MANAGEMENT

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STONEPATH WEALTH MANAGEMENT

TRUST BUT VERIFY

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