Stephen K. Semer
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 Kenneth Semer, who also goes by Stephen Semer, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2016. Stephen had worked at 4 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2025 - April 22, 2025
NOVUS ADVISORS
December 14, 2018 - February 8, 2019
ADVISORS' PRIDE INC.
June 4, 2018 - February 11, 2019
LPL FINANCIAL LLC
September 6, 2016 - June 6, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 2, 2016 - June 6, 2018
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
NOVUS ADVISORS
CRD#: 157908 / SEC#: 801-78828
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NOVUS ADVISORS
CRD#: 157908 / SEC#: 801-78828
Contact information
SEC notice filing (21 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 617 |
| AUM (Assets Under Management) | $ 202,942,595 |
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.
