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John Ward Seraphin

John W. Seraphin

STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS
Leesburg, VA 20175
Some features on this profile are disabled
CRD#: 6743001
John Ward Seraphin

Professional summary

John Ward Seraphin, CFP®, who also goes by Jake Seraphin, is a registered financial advisor currently at STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS located in Leesburg, Virginia.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. John has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

What are your service offerings?
Investment Planning
Insurance Planning
Retirement Planning
Comprehensive Financial Planni...
Employee and Employer Plan Ben...
Estate Planning
Tax Planning
What is your minimum asset requirement?
1
Are you a "fiduciary"?
Yes

Aliases

Jake Seraphin

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) - RIA

Click below to view John Ward Seraphin's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

March 1, 2022 - Present

STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS

Office #1: 893-a Harrison Street, S.e., Leesburg, VA 20175
RIA
CRD#: 111685
Leesburg, VA
Past

July 9, 2019 - November 23, 2021

EAGLE STRATEGIES LLC

RIA
CRD#: 110826
VIENNA, VA
Past

January 31, 2019 - November 23, 2021

NYLIFE SECURITIES LLC

BD
CRD#: 5167
VIENNA, VA

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".
SG
STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS
RIGGS STEIGERWALD INC. | STEIGERWALD, GORDON & KOCH INC. | STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS | STEIGERWALD, GORDON & KOCH WEALTH ADVISORS | SGK WEALTH ADVISORS

CRD#: 111685 / SEC#: 801-55694

RIA
Registered Investment Advisory firm - (7/7/1998 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.

Highlighted states indicate IAR registrations

IAR
Texas
(3/1/2022)
IAR
Virginia
(3/1/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/14/2019
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/5/2018
Securities Industry Essentials Examination

Current Firm

SG
STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS
RIGGS STEIGERWALD INC. | STEIGERWALD, GORDON & KOCH INC. | STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS | STEIGERWALD, GORDON & KOCH WEALTH ADVISORS | SGK WEALTH ADVISORS

CRD#: 111685 / SEC#: 801-55694

RIA
Registered Investment Advisory firm - (7/7/1998 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
893-a Harrison Street, S.e., Leesburg, VA 20175
Mailing Address
Phone number
(703) 777-8826
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (3/19/2026)

Regulatory assets under management

Total Number of Accounts730
AUM (Assets Under Management)$ 1,322,699,543

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.

Company Information

STEIGERWALD, GORDON & KOCH - WEALTH ADVISORS

CRD#: 111685Leesburg, VA 20175

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