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Stephen J. Spach
PINION WEALTH MANAGEMENT
Fresno, CA 93720
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CRD#: 6194336
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Professional summary
Stephen Joseph Spach, who also goes by Stephen Joseph Spach, Spach Joseph Stephen, Spach Stephen, is a registered financial advisor currently at PINION WEALTH MANAGEMENT, LLC located in Fresno, California.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Stephen has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephen Joseph Spach | Spach Joseph Stephen | Spach Stephen
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.Pinion Insurance Agency LLC -04/2023- INV REL -1605 N Waterfront Pkwy, Ste 200 Wichita, KS -Agent - Non-Variable Insurance - START 01/01/2016 - 5 HOURS PER MONTH - I plan on offering insurance products as part of the planning process for clients' needs. 2. Wild Man Consulting LLC- Owner-Consulting-Start 7/26/22- less than 5 hrs/mo. Provides personal and business consulting. 3.Graveline Financial-Referral source.1243 E Spruce Ave # 105, Fresno, CA 93720 Start 01/2015. 1 hour per month-refer clients to Graveline to get better rates.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Joseph Spach's 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®
NoneExperience
Current
April 18, 2023 - Present
PINION WEALTH MANAGEMENT, LLC
Office #1: 5 River Park Place East, Suite 320, Fresno, CA 93720RIA
CRD#: 114556
Fresno, CA
Past
August 17, 2020 - May 3, 2023
HERITAGE WEALTH MANAGEMENT, LLC
RIA
CRD#: 287909
CLOVIS, CA
Past
December 3, 2013 - August 26, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
FRESNO, CA
Past
August 14, 2013 - August 26, 2020
LPL FINANCIAL LLC
BD
CRD#: 6413
FRESNO, CA
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".
PW
PINION WEALTH MANAGEMENT, LLC
KC ADVISORS, LLC | PINION WEALTH MANAGEMENT, LLC | PINION INVESTMENT ADVISORS, LLC | KCOE WEALTH MANAGEMENT, LLC | KC INVESTMENT ADVISORS, LLC
CRD#: 114556 / SEC#: 801-63322
RIA
Registered Investment Advisory firm - (7/2/2004 Approved)Colorado
Registered Investment Advisory firm - (7/26/2004 Terminated)Kansas
Registered Investment Advisory firm - (10/20/2005 Terminated)Nebraska
Registered Investment Advisory firm - (7/30/2004 Terminated)Texas
Registered Investment Advisory firm - (7/22/2004 Terminated)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(4/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PW
PINION WEALTH MANAGEMENT, LLC
KC ADVISORS, LLC | PINION WEALTH MANAGEMENT, LLC | PINION INVESTMENT ADVISORS, LLC | KCOE WEALTH MANAGEMENT, LLC | KC INVESTMENT ADVISORS, LLC
CRD#: 114556 / SEC#: 801-63322
RIA
Registered Investment Advisory firm - (7/2/2004 Approved)Colorado
Registered Investment Advisory firm - (7/26/2004 Terminated)Kansas
Registered Investment Advisory firm - (10/20/2005 Terminated)Nebraska
Registered Investment Advisory firm - (7/30/2004 Terminated)Texas
Registered Investment Advisory firm - (7/22/2004 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1605 North Waterfront Parkway Suite 200, Wichita, KS 67206
Mailing Address
Phone number
(316) 682-8344
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (11 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,340 |
| AUM (Assets Under Management) | $ 649,043,048 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
