SH
Stephen D. Howles
MODERN WEALTH MANAGEMENT
ROCHESTER, NY 14604
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CRD#: 6342051
SH
Professional summary
Stephen Douglas Howles, CFP® is a registered financial advisor currently at MODERN WEALTH MANAGEMENT, LLC located in Rochester, New York and MUTUAL SECURITIES, INC. located in Rochester, New York.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Stephen has worked at 4 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.
1. BIA Consulting, LLC., Start Date: 01/01/2020, One Bausch and Lomb Place, Ste. 900, Rochester, NY 14604, Partnership, Business Entity for Tax/Investment purposes only, Partner, Not Investment Related, Business Entity for tax/investment purposes only, Not Investment Related, 10 Hours per month, 0 Hours per day during trading hours. 2. Modern Wealth Management, LLC., Start Date: 03/01/2024, One Bausch and Lomb Place, Ste. 900, Rochester, NY 14604, Corporation, RIA, Executive Financial Advisor, Financial Planner, Investment Advisor, Investment Related, 200 Hours per month, 10 Hours per day during trading hours. 3. Independent Insurance Agent, Start Date: 03/01/2024, One Bausch and Lomb Place, Ste. 900, Rochester, NY 14604, Corporation, Insurance Agency, Insurance Agent, Non-Variable Insurance Fixed Insurance, Not Investment Related, 5 Hours per month, 0.5 Hours per day during trading hours. 4. 1/7/2020 - Mutual Securities Group - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Douglas Howles'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®
Experience
Current
March 1, 2024 - Present
MODERN WEALTH MANAGEMENT, LLC
Office #1: One Bausch & Lomb Place Suite 900, Rochester, NY 14604RIA
CRD#: 324624
ROCHESTER, NY
Current
February 29, 2024 - Present
MUTUAL SECURITIES, INC.
Office #1: One Bausch And Lomb Place Ste. 900, Rochester, NY 14604BD
CRD#: 13092
Rochester, NY
Past
September 19, 2018 - March 13, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROCHESTER, NY
Past
September 18, 2018 - March 13, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
ROCHESTER, NY
Past
February 4, 2016 - September 19, 2018
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
ROCHESTER, NY
Past
September 3, 2014 - September 19, 2018
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
ROCHESTER, NY
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".
MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC
CRD#: 324624 / SEC#: 801-127231
RIA
Registered Investment Advisory firm - (5/2/2023 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(2/29/2024)
RR
Arkansas(2/29/2024)
RR
California(2/29/2024)
RR
Colorado(2/29/2024)
RR
Connecticut(2/29/2024)
RR
Florida(2/29/2024)
RR
Georgia(2/29/2024)
RR
Hawaii(2/29/2024)
RR
Massachusetts(2/29/2024)
RR
Michigan(2/29/2024)
RR
Minnesota(2/29/2024)
RR
Nevada(2/29/2024)
RR
New Hampshire(2/29/2024)
RR
New Mexico(2/29/2024)
RR
New York(2/29/2024)
IAR
New York(3/1/2024)
RR
North Carolina(2/29/2024)
RR
Ohio(2/29/2024)
RR
Oregon(2/29/2024)
RR
Rhode Island(11/26/2024)
RR
South Carolina(2/29/2024)
IAR
Texas(5/6/2024)
RR
Vermont(2/29/2024)
RR
Virginia(2/29/2024)
RR
Washington(2/29/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
MW
MODERN WEALTH MANAGEMENT, LLC
MODERN WEALTH MANAGEMENT, LLC | PUBLIC SAFETY FINANCIAL | PETSO FINANCIAL, A DIVISION OF MODERN WEALTH MANAGEMENT, LLC
CRD#: 324624 / SEC#: 801-127231
RIA
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Contact information
Main Address
13550 W 95th St., Lenexa, KS 66227
Mailing Address
Phone number
(913) 393-1000
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 18,823 |
| AUM (Assets Under Management) | $ 6,148,915,787 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MODERN WEALTH MANAGEMENT, LLC
CRD#: 324624Rochester, NY 14604TRUST BUT VERIFY
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