SB
Steven T. Briggs
BRIGGS FINANCIAL
Round Lake Beach, IL
Some features on this profile are disabled
CRD#: 6567788
SB
Professional summary
Steven Thomas Briggs is a registered financial advisor currently at BRIGGS FINANCIAL INC. located in Round Lake Beach, Illinois.
Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Steven has worked at 2 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.
STEVEN BRIGGS is currently contracted as Regional Coordinator for Wizards of the Coast, LLC. This activity accounts for approximately 10% of their time.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Thomas Briggs'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
January 2, 2018 - Present
BRIGGS FINANCIAL INC.
RIA
CRD#: 291012
Round Lake Beach, IL
Past
February 18, 2016 - October 27, 2017
WADDELL & REED
RIA
CRD#: 866
OAK BROOK, IL
Past
January 15, 2016 - October 27, 2017
WADDELL & REED
BD
CRD#: 866
OAK BROOK, IL
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(10/6/2022)
IAR
Illinois(1/2/2018)
IAR
Michigan(2/28/2019)
IAR
Minnesota(12/22/2022)
IAR
Texas(1/9/2019)
IAR
Washington(9/25/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
BF
BRIGGS FINANCIAL INC.
BRIGGS FINANCIAL | BRIGGS, STEVEN THOMAS | BRIGGS FINANCIAL INC.
CRD#: 291012 / SEC#:
California
Registered Investment Advisory firm - (10/6/2022 Approved)Illinois
Registered Investment Advisory firm - (1/2/2018 Approved)Michigan
Registered Investment Advisory firm - (2/26/2019 Approved)Minnesota
Registered Investment Advisory firm - (12/22/2022 Approved)Texas
Registered Investment Advisory firm - (1/3/2019 Conditional Restricted)Washington
Registered Investment Advisory firm - (9/25/2025 Approved)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
Round Lake Beach, IL
Mailing Address
Phone number
(517) 242-7804
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 375 |
| AUM (Assets Under Management) | $ 34,000,000 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| Texas | ERA - Withdrawn | 1/2/2019 |
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.
