Stephen J. Saunders

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CRD#: 6113181

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 John Saunders was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 2012. Stephen had worked at 4 firms and has passed the Series 65 exam.

Question & Answer

Are you a "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.

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

October 4, 2019 - April 24, 2020

TOWER BRIDGE ADVISORS

RIA

CRD#: 115700

CONSHOHOCKEN, PA

Past

February 18, 2015 - October 4, 2019

BIEGEL WALLER INVESTMENT ADVISORY SERVICES

RIA

CRD#: 109597

COLUMBIA, MD

Past

September 24, 2012 - August 11, 2014

GARP RESEARCH & SECURITIES COMPANY

RIA

CRD#: 124789

REISTERSTOWN, MD

Past

September 24, 2012 - August 11, 2014

GAINESWOOD INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 121715

REISTERSTOWN, MD

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".

TOWER BRIDGE ADVISORS

TOWER BRIDGE ADVISORS | TOWER BRIDGE ADVISORS, INC.

CRD#: 115700 / SEC#: 801-60640

RIA

Registered Investment Advisory firm - (10/5/2001 Approved)

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: 9/21/2012

Uniform Investment Adviser Law Examination

Current Firm

TOWER BRIDGE ADVISORS

TOWER BRIDGE ADVISORS | TOWER BRIDGE ADVISORS, INC.

CRD#: 115700 / SEC#: 801-60640

RIA

Registered Investment Advisory firm - (10/5/2001 Approved)

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Contact information

Main Address

300 Barr Harbor Drive Suite 705, West Conshohocken, PA 19428-2075

Mailing Address

Phone number

(610) 260-2200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOWER BRIDGE ADVISORS PART 2A (5/13/2025)

Regulatory assets under management

Total Number of Accounts	794
AUM (Assets Under Management)	$ 1,317,334,651

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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Firm Stability Insights

Stephen J. Saunders

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TOWER BRIDGE ADVISORS

BIEGEL WALLER INVESTMENT ADVISORY SERVICES

GARP RESEARCH & SECURITIES COMPANY

GAINESWOOD INVESTMENT MANAGEMENT, INC.

Primary Firm SEC Registration

TOWER BRIDGE ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/2012

Current Firm

TOWER BRIDGE ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOWER BRIDGE ADVISORS

TRUST BUT VERIFY

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